FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-00219 Citigroup Global Markets, Inc. ("Claimant") v. Pamela Williams ("Respondent") ATTORNEYS: For Citigroup Global Markets, Inc. appeared Joan Toro, Esq., of the law-firm Alonso, Andalkar & Kahn, P.C, NewYork, NY Respondent did not submit an Answer to the Statement of Claim. NATURE OF DISPUTE: Member v. Customer DATE FILED: January 24. 2007 CASE SUMMARY: Claimant alleged that Resp

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-01475 Nina N. Marcuccio, ("Claimant") vs. Delta Equity Services Corporation, ("Respondent") ATTORNEYS: For Claimant Nina N. Marcuccio appeared Ted A. Marcuccio, Rockville, MD For Respondent Delta Equity Services Corporation appeared in-house counsel, Scott P. Aubrey, Esq., Bolton, MA NATURE OF DISPUTE: Customer vs. Member DATE FILED: May 7, 2007 CASE SUMMARY: Claimant alleged that

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Gene A. Gautreaux Lynn Gautreaux Names of the Respondents Salomon Smith Barney, Inc. Rickey Major Names of Third Partv Respondents Elizabeth Kimberiy Hough Nancy Ruth Mangham Frances Ann Schwehr as Heirs of Virginia Gautreaux Case Number: 04-00499 Hearing Site: New Orieans, Louisiana Nature of the Dispute: Customer vs. Member a

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Edward F. McDonald (Claimant) vs. Commonwealth Financial Network and Paul Hess (Respondents) Case Number: 07-00170 Hearing Site: Boston, Massachusetts Nature of the Dispute: Customer vs. Associated Person and Member. REPRESENTATION OF PARTIES Claimant Edward F. McDonald hereinafter referred to as "Claimant": Kevin G. Diamond, Esq., Shea & Diamond, Holliston, MA. Respondents

FINRA DISPUTE RESOLUTION AWARD FiNRA DISPUTE RESOLUTION CASE: 07-02046 Janney Montgomery Scott LLC, ("Claimant") vs. Michael J. Pinckes, ("Respondent") ATTORNEYS: For Claimant appeared in-house counsel Carrie L. Cheiko, Esq., Philadelphia, PA. Respondent did not submit an Answer to the Statement of Claim. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: July 5, 2007 CASE SUMMARY: Claimant alleged that Respondent breached an employment

FINRA DISPUTE RESOLUTION AWARD FfNRA DISPUTE RESOLUTION CASE: 07-01244 Harvey Champtin and Ashley Champtin, CCIaimants") vs. Wachovia Securities, LLC, ("Respondent") ATTORNEYS: For Claimants appeared Greg P. Regler. Esq., of the firm Jackson, DeMarco, Tidus & Peckenpaugh, Westlake Village, CA For Respondent appeared in-house counsel Ryan P. Smith, Esq., Richmond, VA. NATURE OF DISPUTE: Customers vs. Member DATE FILED: April 13. 2007 CASE SUM

FiNRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-01404 UBS Financial Services, Inc., ("Claimant") vs. Steven D. Stroud, ("Respondent") ATTORNEYS: " ^~"~ For Claimant appeared Jamie B. Kennedy, Esq., of the firni Riker, Danzig, Scherer, Hyland & Perretti LLP, Morristown, NJ. Respondent appeared pro se, Galveston, TX. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: May 2, 2007 CASE SUMMARY: Claimant alleged that Responde

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Ralph L. Falls (Claimant) vs. Leerink Swann & Company (Respondent) Case Number: 07-00943 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Ralph L. Falls hereinafter referred to as "Claimant": Stewart D. Aaron, Esq., Arnold & Porter, LLP, New York, NY. Respondent Leerink Swann & Company hereinafter referred

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Norman Miller, Pauline Miller, The Miller Revocable Trust, The Miller Charitable Remainder Trust, and The Miller Family Foundation, Claimants v. B.B, Graham & Company, Inc., Bruce E. Graham, and John A. Walthall, Respondents Case Number: 06-03917 Hearing Site: Los Angeles. California Nature of the Dispute: Customers v. Member and Associated Persons REPRESENTATION OF PARTIES For

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Mario Rofer and Ann Rofer, individually and as beneficiaries of their respective IRAs, Claimants v. A.G. Edwards & Sons, Inc. and Anthony Russo, Respondents Case Number: 05-05647 Hearing Site: Los Angeles, California Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES For Claimants: Jonathan W. Evans, Esq. Jonathan W. Evans & Associates