Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-05283 Lafise Valores Santo Domingo, S.A. Name of the Respondent Hearing Site: Boca Raton, Florida Stanford Group Company Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Lafise Valores Santo Domingo, S.A., hereinafter referred to as "Claimant": Curtis Carison, Esq. and V. Michael Arias Esq., Carlson & Lewittes, M

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Mary Jacqueline DeThorne vs. Case Number: 05-01567 Hearing Site: Chicago, Illinois Names of Respondents Rothschild Investment Corporation, Optimum Investment Advisors, LLC, and Edward Malysiak NATURE OF THE DISPUTE Customer vs. Member, Non-Member and Associated Person REPRESENTATION OF PARTIES Mary Jacqueline DeThorne ("Claimant") was represente

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 07-00723 High Mark Securities, Inc. High Mark Associates, Inc. High Mark Insurance and Financial Services, inc. John J. Pennachio Mark R. Wells Name of the Respondent Hearino Site: Atlanta, Georgia Royal Alliance Associates. Inc. Nature of the Dispute: Member, Non-Member and Associated Person vs. Member. For High Mark Securities,

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 07-00423 Citigroup Global Markets, Inc., d/b/a Smith Barney Citigroup Global Markets Holdings, Inc. Names of the Respondents Hearing Site: Orlando, FL James Potter Eugene Brendon McCarthy, III Brian W. Laughlin Dennis W, Laughlin Judith McCarthy Barbara Shauiis Denise M. Antonetz Stifel Nicolaus & Company, Incorporated

Award FINRA Dispute Resolution In the Matter ofthe Arbitration Between: Names of the Claimants Case Number: 07-00072 Franz Ritucci-Chinni Martha Ritucci-Chinni Guilio Zeni Elena Zeni Francesco Ritucci-Chinni Assunta Ritucci-Chinni Names of the Respondents Hearing Site: Oriando, Florida Steriing Financial Investment Group Equinox Securities, Inc. Chris Palkowitsh Nature of the Dispute: Customer vs. Member and Associated Person.

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Vera Maria Knowles IRA FBO Vera Maria Knowles, Claimant v. Merrill Lynch, Pierce. Fenner & Smith Incorporated and Matthew Coliier, Respondents Case Number: 07-00877 Hearing Site: San Francisco, Califomia Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Vera Maria Knowles Brentwood, Califomia For Respondents: H. Kyeng Le

Award FINRA Dispute Resolution In the Matter ofthe Arbitration Between: Adam Aspes, Scott Hootman, Jacob Morton, Curtis Thompson and Catherine Lesterhuis (Claimants) vs. Moors & Cabot, Inc., Daniel Joyce, Michael Braun, William Devin, JR., and Brian Foley (Respondents) Moors & Cabot, Inc., vs. Sterne, Agee & Leach, Inc., Sterne Agee Capital Markets, Inc., and Sal Financial Services, Inc., d/b/a Sterne Agee Financial Services (Third-Party Respondents)

AWARD FINRA Dispute Resolution In the Matter of the Arbitrafion Between: Name of Claimant Merrill Lynch, Pierce, Fenner & Smith, Inc., in its own right and in its capacity as assignee of Advest, Inc. vs. Name of Respondent Edward Joseph Wetzel and Name of Claimant/Counter-Respondent Merrill Lynch, Pierce, Fenner & Smith Inc., in its own right and in its capacity as assignee of Advest, Inc. vs. Name of Respondent/Counter-C

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-01635 Michael Pata and Steven Dubinsky ("Claimants") vs. Institutional Equity Corp. (Respondent") ATTORNEYS: Michael Pata ("Claimant") appeared pro se, Hunfington, NY Steven Dubinsky ("Claimant") appeared pro se, Dix Hills, NY Respondent Institutional Equity Corp. did not submit an answer to the Statement of Claim. Michael Pata and Steven Dubinsky are hereinafter collectively refer

Award FINRA Dispute Resolution In the Matter ofthe Arbitration Between: Marvice Dodds and Mary Dodds, Individually, as owners of Dodds Body Works, Inc., and Trustees of Dodds Body Works, Inc. Defined Benefit Pension Plan (Claimants) vs. Michael Charles Ballou, Ronald Arthur Lewis, Raymond James & Associates, and Raymond James Financial Services, Inc. (Respondents) Case Number: 06-00429 Hearinq Site: Columbus, Ohio Nature of the Dispute: Customers vs. Me