Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Citigroup Global Market Holdings, Inc. and Citigroup Global Markets Inc., Claimants v. James E. Bell, Respondent James E. Bell, Counter-Claimant v. Citigroup Global Market Holdings, Inc. and Citigroup Global Markets Inc., Counter-Respondents Case Number: 07-00450 Hearing Site: Houston, Texas Nature of the Dispute: Member and Non-Member v. Associated Person Associated Person v.

Award FINITA Dispute Resolution In the Matter of the Arbitration Between: IVIay Jean Slover, Claimant v. Raymond James Financial Services. Inc., Richard S. McDowell, Bryan D. Farris, Timothy L. Lacey and Detroy L. Womack, Respondents Case Number: 06-04161 Hearina Site: Los Angeles, California Nature of the Dispute: Customer v. Member and Associated Persons REPRESENTATION OF PARTIES For Claimant: Michael A. Dias, Esq. Dies Law Firm Hanford, Calif

Award FINF(A Dispute Resolution In the Matter of the Arbitration Between: Harvey Dick Kagasoff and Kazuko Kagasoff, JTTEN, Claimants v. Wells Fargo Investments, LLC, Wells Fargo Securities, LLC f/k/a Van Kasper & Co., Douglas D. Ivan, and Susan M. Ivan, Respondents Case Number: 05-02132 Hearina Site: Los Anaeles. Califomia Nature of the Dispute: Customers v. Members and Associated Persons REPRESENTATION OF PARTIES For Claimants: Patrick L. Lund, Esq

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Kurt Charies Novey, Claimant v. William Todd Mauney, Katharine A. Moore, and Barron Moore, Inc., Respondents Case Number: 06-04244 Hearina Site: Dallas, Texas Nature of the Dispute: Associated Person v. Member and Associated Persons REPRESENTATION OF PARTIES For Claimant Kurt Charies Novey (hereinafter "Claimant"): For Respondents William Todd Mauney, Katherine A. M

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Christopher W. Allick. Claimant v. Urchin Capital Partners LLC and Peter R. Fader, Respondents Case Number: 06-05331 Hearina Site: San Francisco, California Nature of the Dispute: Associated Person v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: David H.S. Commins Kenneth C. Webster Commins & Webster. P.C. San Francisco. California For Respon

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Anne L. McDowell as Executor and Tmstee of the Beatrice F. Richter Rev. Tmst dtd 03/04/1999 and Joseph M. Richter, Claimants v. Morgan Stanley DW Inc. a/k/a Morgan Stanley Dean Witter and Lydia M. Hopps, Respondents Case Number: 06-04176 Hearina Site: Los Angeles, California Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES For Claimants

Award FINI^ Dispute Resolution In the Matter of the Arbitration Between: James F. Riley, IRA, Claimant v. Associated Securities Corp. and Patricia F. Meidell, Respondents Case Number: 06-02936 Hearina Site: Reno, Nevada Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Thomas C. Bradley, Esq. Sinai, Schroeder, Mooney, Boetsch, Bradley Reno, Nevada Ronald E. Miller Loss Recovery Ce

Award FINRA Dispute Resolution In the Matter of the Arbitration Behween: Susan K. Beesemyer and Beesemyer Family Trust Agreement 10/96, Claimants v. Citigroup Global Markets, Inc., Respondent Case Number: 06-02459 Hearina Site: Phoenix, Arizona Nature of the Dispute: Customers v. Member REPRESENTATION OF PARTIES For Claimants: J. Emery Barker, Esq. Mesch, Clark & Rothschild, P.C. Tuscon, Arizona For Respondent: Sean J. Coughlin, Esq. Cit

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Joseph Anthony Padilla, Claimant v. Empire Financial Group, Inc. and Empire Financial Holding Company, Respondents Case Number: 07-01644 Hearing Site: Los Angeles. California Nature of the Dispute: Associated Person v. Member and Non-Member REPRESENTATION OF PARTIES For Claimant: Irving M. Einhorn, Esq. Law Offices of Irving M. Einhorn, Esq. Manhatthan Beach, California

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Citigroup Global Markets Inc. f/k/a Salomon Smith Barney Inc., Claimant v. Donald L. Popkes, 11, Respondent Case Number: 05-00185 Hearing Site: Los Angeles. California Nature of the Dispute: Member v. Associated Person REPRESENTATION OF PARTIES For Claimant: Brian C. Free, Esq. Hillis Clark Martin & Peterson. P.S. Seattle, Washington For Respondent: No Appearance CAS