AWARD FINRA Dispute Resolution in the Matter of the Arbitration Between: Names of Claimants Kerry Meyer and William Kreyenhagen vs. Case Number: 07-01426 Hearing Site: Cincinnati, Ohio Names of Respondents Multi-Financial Securities Corporation, Robert H. Hogsette, Jr., Dawson Wealth Management Agency, Inc., and Dawson Corporation, LTD NATURE OF THE DISPUTE Customers vs. Member, Associated Person and Non-Members REPRESENTATION OF

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: McLaughlin, Piven, Vogel Securities, inc.. Claimant v. Jimmie Lee Griffith, Respondent Jimmie Lee Griffith, Counter-Claimant v. McLaughlin, Piven, Vogel Securities, Inc., Counter-Respondent Case Number: 03-06793 Hearing Site: San Francisco, California Nature of the Dispute: Member v. Associated Person Associated Person v. Member REPRESENTATION OF PARTIES For Claimant: Mark

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Recipco Corporation, Claimant v. Citigroup Global Markets, Inc. d/b/a Salomon Smith Barney and Rebecca S. Rothstein, Respondents Case Number: 06-00393 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Eric F. Yuhi Yuhl Stoner & Carr, LLP Santa Monica, California For Respondent Ci

Award FINRA Dispute Resolution In the Matter ofthe Arbitration Between: Citigroup Global Markets, Inc., Claimant v. Christopher E. Frazier, Respondent Case Number: 07-00224 Hearing Site: Denver, Colorado Nature of the Dispute: Member v. Associated Person REPRESENTATION OF PARTIES For Claimant: Ron Kane, Esq. Kane & Fischer, Ltd. Chicago, Illinois For Respondent: Christopher E. Frazier Pro Se Littleton, Colorado CASE INFORMATION S

AWARD FINRA Dispute Resolution in the Matter of the Arbitration Between: Name of Claimant Elaine L. Pulig vs. Names of Respondents Janney Montgomery Scott, LLC and Jean Smith Case Number: 06-05136 Hearing Site: Pittsburgh, Pennsylvania Customer vs. Member and Associated Person Elaine L. Pulig ("Claimant") appeared pro se. Janney Montgomery Scott. LLC ("Janney Montgomery") was represented by Carrie L. Cheiko, Esq.. Janney Montgome

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Arthur L. Kievai vs. Name of Respondent Citigroup Global Markets, Inc. Case Number: 05-03814 Hearing Site: Houston, Texas NATURE OF THE DISPUTE Associated Person vs. Member REPRESENTATION OF PARTIES Arthur L. Kievai ("Claimant") was represented by David L. Ward, Esq., Michaels, Ward & Rabinovitz, LLP, Boston, Massachusetts. Citigroup Glo

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Beatrice Pautienis vs. Case Number: 07-01002 Hearing Site: Cleveland, Ohio Name of Respondent McDonald Investments, Inc. NATURE OF THE DISPUTE Customer vs. Member REPRESENTATION OF PARTIES Beatrice Pautienis ("Claimant") appeared pro se. McDonald Investments, inc. ("Respondent") was represented by Joseph S. Simms, Esq., Ulmer Beme, LLP, Clev

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Harold N. Heussner and Marjorie A. Heussner vs. Case Number: 06-03595 Hearing Site: Southfield, Michigan Name of Respondent Merrill Lynch, Pierce, Fenner & Smith, inc. NATURE OF THE DISPUTE Customers vs. Member REPRESENTATION OF PARTIES Harold N. Heussner and Marjorie A. Heussner ("Claimants") were represented by Robert A. McCall, Esq., Sylvan

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants/Counter-Respondents UBS Financial Services, Inc., Jeffrey Carroll, and Rebecca Gadus vs. Case Number: 06-00880 Hearing Site: Dallas, Texas Name of Respondent/Counter-Claimant Sammy Joe Gordon NATURE OF THE DISPUTE Member and Associated Persons vs. Associated Person REPRESENTATION OF PARTIES UBS Financial Services, Inc. ("UBS"), Jeffrey Car

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-05381 Robert L. Gilbert TTEE Robert Lee Gilbert Trust DTD 2/25/91 Names of the Respondents Hearing Site: Columbia, South Carolina McGinn Smith & Co., Inc. David L. Smith Brian T. Mayer Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Robert L. Gilbert TTEE Robert Lee Gilbert Trust DTD 2/