stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: James A. Manganiello and Wanda Stevens (Claimants) vs. Morgan Stanley DW, Inc., and Domenic A. Kalil (Respondents) Case Number: 03-06469 Hearina Site: Boston, Massachusetts Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES James A. Manganiello ("Manganiello") and Wanda Stevens ("Stevens"), hereinafter collectively referred to

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Joseph T.J. Stewart II (Claimant) v. McKim Capital, Inc., Robert Taggart, James Cahill, and Ian Scott-Dunne (Respondents) Case Number: 06-00458 Hearina Site: New York, New York Nature of the Dispute: Associated Person vs. Member, Associated Persons, and Non- Member. REPRESENTATION OF PARTIES Claimant Joseph T.J. Stewart II ("Claimant"): Hollis Gonerka Bart, Esq., Cha

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-02307 Citigroup Global Markets, Inc. ("Claimant") vs. Latrice Berry ("Respondent") ATTORNEYS: For Citigroup Global Markets, Inc. appeared Tejal N. Shah, Esq., New York, NY Respondent did not submit an answer to the Statement of Claim. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: August 9, 2007 CASE SUMMARY: Claimant alleged that Respondent has retained and refused to pay

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-02188 Minxin Bao ("Claimant") vs. Firstrade Securities, Inc. ("Respondent") ATTORNEYS: Minxin Bao ("Claimant") appeared pro se, Chicago, IL For Firstrade Securities, Inc. ("Respondent") appeared Peter E. Gschweng, Flushing, NY NATURE OF DISPUTE: Customer v. Member DATE FILED: July 25, 2007 CASE SUMMARY: Claimant alleged unauthorized trades of 51,510 shares of IWRS.PK on March 26, 2

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-01501 Daniel Michael Harris ("Claimant") vs. Granite Securities, LLC ("Respondent") ATTORNEYS: For Daniel Michael Harris ("Claimant") appeared Michael Kalmus, Esq., New York, NY For Granite Securities, LLC ("Respondent") appeared Douglas DiDominica, Cutchogue, NY NATURE OF DISPUTE: Associated Person v. Member DATE FILED: May 10, 2007 CASE SUMMARY: Claimant alleged that he was not p

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Lois Carrier and David Maurice (Claimants) vs. Linsco/Private Ledger Corporation (Respondent) Case Number: 06-05199 Hearing Site: Boston, Massachusetts Nature of the Dispute: Associated Persons vs. Member. REPRESENTATION OF PARTIES Claimants Lois Carrier ("Carrier") and David Maurice ("Maurice"), hereinafter collectively referred to as "Claimants": Jeffrey B. Kelvin, Esq., Fina

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-00684 Ronald J. Hughes, Jr. Name of the Respondent Hearing Site: Atlanta, Georgia Goldman Sachs & Co., Inc. Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES For Ronald J. Hughes, Jr., hereinafter referred to as "Claimant": Rodney J. Heggy, Esq., Federman & Shenvood, Oklahoma City, Oklahoma. For Goldman S

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants The Donald P. McAdams REV/INT Trust U/T/A DTD 1/7/2000; and The Donna McAdams REV/INT Trust U/T/A DTD 1/7/2000 vs. Case Number: 06-02162 Hearing Site: St. Louis, Missouri Name of Respondent Morgan Stanley DW, Inc. NATURE OF THE DISPUTE Customers vs. Member REPRESENTATION OF PARTIES The Donald P. McAdams REV/INT Trust U/T/A DTD 1/7/2000; an

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Robert J. Milano, Next Friend to Beneficiaries Aaron Milano and Angelo Milano, and Key Bank, N.A., Trustee, The Robert J. Milano Irrevocable Life Insurance Trust vs. Case Number: 06-05160 Hearing Site: Detroit, Michigan Names of Respondents Gregory C. Kopan, Butler Capital Advisors, Inc., Pacific Life Insurance Company, and Multi-Financial Sec

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-01474 Norman M. Schlesinger, ("Claimant") vs. Merrill Lynch, Pierce, Fenner & Smith, Inc., ("Respondent") ATTORNEYS: Claimant appeared pro se, Boyton Beach, FL. For Respondent appeared in house counsel David E. Bamberger, Esq., New York, NY. NATURE OF DISPUTE: Customer vs. Member DATE FILED: May 7, 2007 CASE SUMMARY: Claimant alleged that Respondent failed to pay him monies owed