AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Thomas P. Fitzgerald vs. Case Number: 05-02411 Hearing Site: Southfield, Michigan Names of Respondents H&R Block Financial Advisors, Inc., H&R Block, inc., HRB Management, Inc., and H&R Block Severance Plan NATURE OF THE DISPUTE Associated Person vs. Member and Non-Members REPRESENTATION OF PARTIES Thomas P. Fitzgerald ("Claimant") was repre

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Richard MacLennan (Claimant) vs. Citigroup Global Markets, inc. (f/k/a Salomon Smith Barney. Inc. (Respondent) Case # 05-04806 Hearina Site: Hartford. Connecticut consolidated with Richard MacLennan (Claimant) vs. Citigroup Global Markets, inc. (f/k/a Salomon Smith Barney (Respondent) Case Number: 07-00183 Hearina Site: Hartford. Connecticut Nature of the Dispute (05-04806)

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-02563 Pamela S. Neidhart-Ring Trustee and Executor of the Alvinett Elizabeth Neidhart Trust and Estate ("Claimant") vs. Scotty W. Schoettiin and Citicorp investment Services ("Respondents") ATTORNEYS: For Pamela S. Neidhart-Ring Trustee and Executor of the Alvinett Elizabeth Neidhart Trust and Estate ("Claimant") appeared Pamela Neidhart-Ring. Mission Viejo. CA For Citicorp investment

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-02095 Stephen S. Francis ("Claimant") vs. E*Trade Securities LLC ("Respondent") ATTORNEYS: Stephen S. Francis ("Claimant") appeared pro se, Saratoga. CA For E*Trade Securities LLC ("Respondent") appeared John Bersin. Esq., Roseville, CA NATURE OF DISPUTE: Customer v. Member DATE FILED: July 14, 2007 CASE SUMMARY: Claimant alleged that Respondent erroneous withheld from his traditio

Award FINRA Dispute Resoiution In the Matter of the Arbitration Between: Victor P. Siiano (Claimant) vs. RBC Dain Rauscher (Respondent) Case Number: 06-04146 Hearina Site: New York. New York Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Victor P. Siiano hereinafter referred to as "Claimant": Laurent S. Drogin. Esq.. Tarter Krinsky & Drogin, LLP. New York, NY. Respondent RBC Dain Rauscher (named by Claimant a

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Hugo Castro Name of the Respondent Legg Mason Wood Waii^er, inc. Franit Fierro Case Number: 07-00795 Hearina Site: Columbia, South Carolina Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Hugo Castro, hereinafter referred to as "Claimant," appeared pro se. For Legg Mason Wood Wail^er, Inc. ("LMWW")

stipulated Award FINRA Dispute Resoiution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 05-05660 AIG Financial Advisors, Inc. Name of the Respondent Hearing Site: Chariotte, North Carolina Allen Darby Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For AIG Financial Advisors, Inc. ("AIG"), hereinafter referred to as "Claimant": Abby Henig, Esq., Assistant Counsel, AIG Financial Advisor

Award FINRA Dispute Resoiution In the Matter of the Arbitration Between: Ethel Cress (Claimant) vs. Citigroup Global Markets, Inc., d/b/a Citigroup Smith Barney, Louis Metzger, and Alan Fox (Respondents) Case Number: 07-01661 Hearing Site: Newark, New Jersey Nature of the Dispute: Customer vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant Ethel Cress hereinafter referred to as "Claimant": Jon-Henry Barr, Esq., Barr & Canada, L.L.

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Kevin Doss vs. Case Number: 07-00970 Hearing Site: Cleveland, Ohio Name of Respondent Citigroup Global Mari< ets, Inc. NATURE OF THE DISPUTE Associated Person vs. Member REPRESENTATION OF PARTIES Kevin Doss ("Claimant") was represented by Derek Anderson, Esq., Michaels, Ward & Rabinovitz, LLP, Boulder, Colorado. Citigroup Global Markets, Inc.

STIPULATED AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Wells Fargo Investments, LLC vs. Name of Respondent Monica M. Liska Case Number: 07-01001 Hearing Site: Minneapolis, Minnesota NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES Wells Fargo Investments, LLC ("Claimant" or "Wells Fargo") was represented by Diane C. Fisher, Esq., Kane & Fischer, LTD, Chicag