Award FiNRA Dispute Resolution In the Matter of the Arbitration Between; Name of the Claimant Case Number; 07-00874 Signal Securities, Inc. Names of the Respondents Hearing Site: Chariotte, North Carolina James Cowan Wells Real Estate Funds Nature of the Dispute: Member vs. Non-members. REPRESENTATION OF PARTIES For Signal Securities, Inc., hereinafter referred to as "Claimant": Gilbert W. Boyce, Esq., Kutak Rock, L.L.P., Washington, DC.

Award FINRA Dispute Resolution In the Matter of the Arbitration Between; Names of the Claimants Case Number: 07-00451 Citigroup Global Markets Holdings, Inc. Citigroup Global Markets, Inc. d/b/a Smith Barney Name of the Respondent Hearing Site; Boca Raton, Florida Peter M. Muer Nature of the Dispute; Non-member and Member vs. Associated Person. REPRESENTATION OF PARTIES For Citigroup Global Markets Holdings, Inc. ("Citigroup Holdings") and C

AWARD FINRA Dispute Resolution In the Matter ofthe Arbitration Between; Name of Claimant Michael R. Young vs. Name of Respondent First Kentucky Securities Corporation Case Number; 06-04988 Hearing Site; Louisville. Kentucky NATURE OF THE DISPUTE Associated Person vs. Member REPRESENTATION OF PARTIES Michael R. Young ("Claimant") appeared in pro per. First Kentucky Securities Corporation ("Respondent") was represented by Stan Kram

Award FINRA Dispute Resolution In the Matter ofthe Arbitration Between; Names ofthe Claimants Case Number: 06-05223 Ronald E. Warren Shelby H. Warren Names of the Respondents Hearing Site: Birmingham, Alabama A.G. Edwards & Sons, Inc. Allen Wall Michael R. Cramer Sharon Tate Correll Estate of Julius Franklin Kenny, III Lifesource Solutions Transamerica Occidental Life Insurance Co, Nature of the Dispute: Customer vs. Member, Non-

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-01174 Laurie Lujan ("Claimant") vs. Citigroup Global Markets, Inc. ("Respondent") ATTORNEYS: Laurie Lujan ("Claimant") appeared pro se, West Linn, OR For Citigroup Global Market, Inc. ("Respondent") appeared in-house counsel, Marcie S. Mintz, Esq., NewYork, NY NATURE OF DISPUTE: Associated Person v. Member DATE FILED: Aprill 2, 2007 CASE SUMMARY: Claimant alleged that she did not r

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-01589 Timothy R. Martin Name of the Respondent Hearing Site: Richmond, VA Scott & Stringfellow, Inc. Nature ofthe Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES For Timothy R. Martin, hereinafter referred to as "Claimant": Eric A. Welter, Esq., Welter Law Firm. P.C, Herndon, VA. For Scott & Stringfellow. Inc. ("SSI"

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Goldendale Investments, LTD and Silverstein Investments, LTD (Claimants) vs. John Harvey Jessum, Nicole Christine Clark-AKE, Penson Financial Services, Inc., Great Eastern Securities, Inc., and David Eric Niederkrome (Respondents) Case Number: 05-05919 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Associated Persons and Members. REPRESENTATION OF PARTIES

stipulated Award FINRA Dispute Resolution In the Matter ofthe Arbitration Between: Helen Wolff, Individually and as Beneficiary and Co-Trustee ofthe Helen Wolff Revocable Trust, and Through her Attorney-in-Fact, Norbert Wolff (Claimants) v. First Montauk Securities Corp., d/b/a First Montauk Financial Group, Patrick T. Flanagan, Ernest Mark Caponegro, William Jacob Kurinsky, Robert Ira Rabinowitz, and Herbert Kurinsky (Respondents) Case Number: 04-05843

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-00690 Skips A/S Lodd, ("Claimant") vs. Harrison Securities, Inc. and Jason Pinsky, ("Respondents") ATTORNEYS: Claimant appeared pro se, Oslo, Non/vay. For Respondent Jason Pinsky appeared Michael Utilla, Esq., ofthe firm The Law Office of Utilla & Associates, Brooklyn, NY. Respondent Harrison Securities, Inc. did not submit an Answer to the Statement of Claim. NATURE OF DISPUTE

AWARD FINRA Dispute Resolution In the Matter ofthe Arbitration Between: Name of Claimant/Counter-Respondent Banc of America Investment Services, Inc. vs. Name of Respondent/Counter-Cialmant Michael Hampton Case Number: 06-03670 Hearing Site: St. Louis, Missouri NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES Banc of America Investment Services, Inc. ("Claimant" or "Banc of America") was represented by