AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Alyson W. Johansen vs. Name of Respondent Washington Square Securities, Inc. Case Number: 03-05904 Hearing Site: Minneapolis, Minnesota NATURE OF THE DISPUTE Associated Person vs. Member REPRESENTATION OF PARTIES Alyson W. Johansen ("Claimant") was represented by Gary A. Weisman, Esq., Minneapolis, Minnesota. Washington Square Securities

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Barry Raykoske vs. Case Number: 05-06441 Hearing Site: Dallas, Texas Names of Respondents NFP Securities, Inc.; FSC Securities Corporation; William H. Matthews, individually and d/b/a Matthews Financial Service; and Gregory A. Matthews NATURE OF THE DISPUTE Customer vs. Members and Associated Persons REPRESENTATION OF PARTIES Barry R

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Michael E. Marciano and Joseph Marciano (Claimants) vs. MONY Life Insurance Company f/k/a Mutual Life Insurance Company of New York, MONY Securities Corp., The MONY Group, Inc., MONY Holdings, LLC, MONY Brokerage, Inc., A)(A Advisors, LLC, and AXA Financial, Inc. (Respondents) Case Number: 06-00650 Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Associated Persons v

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Deborah A. Magnotta, individually, Deborah A. Magnotta, as Executrix of the Estate of Joseph T. Amato (d/o/d 5/27/00) and Deborah A. Magnotta as Executrix of the Estate of Gloria C. Amato (d/o/d 9/4/02) (Claimants) v. Citigroup Global Markets, Inc., f/k/a Salomon Smith Barney, Inc., Victory Capital Advisers, Inc., f/k/a Newbridge Partners, LLC, James B. Cowperthwait, Ellis O

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants Case Number: 06-04316 Zhao Van Hong Essence City, Ltd Amicorp Development Ltd Precise Power Holdings, Ltd Name of the Respondent Hearing Site: Boca Raton, Florida Capital Growth Financial, LLC Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Zhao Van Hong ("Hong"), Essence City, Ltd ("Essence"), Amicorp Development Ltd

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Lucille Small, Claimant v. Citigroup Global Markets, Inc., William A. Blick, Richard Olsen and Sara Olsen Farner, Respondents Case Number: 06-03212 Hearing Site: San Francisco, California Nature of the Dispute: Customer v. Member and Associated Persons REPRESENTATION OF PARTIES For Claimant: Timothy A. Canning, Esq. Law Offices of Timothy A. Canning Novato, C

AWARD FINRA Dispute Resolution In the Matter of the Arf^itration Between: Name of Claimant Richanj H. Crockett vs. Name of Respondent Lehman Brothers, Inc. Case Number; 06-01050 Hearing Site: Chicago, Illinois Associated Person vs. Member REPRESENTATION OF PARTIES Richard H. Crockett ("Claimant") was represented by Peter A. Cantweil, Esq., Cantwell & Cantwell, Chicago, Illinois. Lehman Brothers, Inc. ("Respondenr) was represented

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants/Counter-Respondents Thomas S. Olsson and David J. Brus vs. Name of Respondent/Counter-Claimant LaSalle Financial Services, Inc. Case Number: 06-00693 Hearing Site: Southfield, Michigan NATURE OF THE DISPUTE Associated Persons vs. Member REPRESENTATION OF PARTIES Thomas S. Olsson ("Olsson") and David J. Brus ("Bois"), hereinafter collectively r

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Dale A. Garnett (Claimant) vs. Endeavor Holdings, Inc., Endeavor Capital, and Jon DeMichiel (Respondents) Case Number: 06-05353 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Non-Member, Member, and Associated Person. REPRESENTATION OF PARTIES Claimant Dale A. Garnett hereinafter referred to as "Claimant": Julian Rainero, Esq., Bracewell & Giu

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-01786 Clark Dodge & Co., Inc. ("Claimant") vs. Martin Rybak ("Respondent") ATTORNEYS: For Clark Dodge & Co., Inc. appeared Randle B. Carpenter, Esq., Larchmont, NY Respondent Martin Rybak appeared pro se, Bronx, NY NATURE OF DISPUTE: Member v. Associated Person DATE FILED: June 11, 2007 CASE SUMMARY: Claimant alleged that Respondent failed to repay a loan of $12,500.00 made to him