Award FINRA Dispute Resolution In the Matter of the Arbitrafion Between: Carolyn Cohen, Individually, and as MLPF&S CUST FPO Lee Container & Paper Basic FBO Carolyn Cohen, and Carolyn Cohen Trustee TTEE U/W Henry Cohen (Claimants) vs. Merrill Lynch, Pierce, Fenner & Smith, Inc., Larry Rothenberg, and The RVH Group (Respondents) Case Number: 04-00577 Hearing Site: Newari< , New Jersey Nature of the Dispute: Customers vs. Member, Associated Person, and Non

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Richard Streisfeld (Claimant) vs. Citigroup Global Markets, Inc. a/k/a Salomon Smith Barney, Inc. (Respondent) Case Number: 06-04998 Hearinq Site: New York, New York Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Richard Streisfeld hereinafter referred to as "Claimant": Neil A. Sussman, Esq., Sussman & Frankel, LLP, New York, NY. Res

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Patricia Cavaness, Individually and as Custodian for the Patricia Cavaness IRA vs. Case Number: 06-04228 Hearing Site: Indianapolis, Indiana Names of Respondents American General Equity Sen/ices Corporation and Daniel S. Bookout NATURE OF THE DISPUTE Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Patricia Cavaness, Indiv

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Mary Grace Patnik vs. Case Number: 07-00039 Hearing Site: Cleveland, Ohio Name of Respondent Citigroup Global Markets, Inc. NATURE OF THE DISPUTE Customer vs. Member REPRESENTATION OF PARTIES Mary Grace Patnik ("Claimant") was represented by Leonard W. Yelky, Esq., Yelsky & Lonardo, Cleveland, Ohio. Citigroup Global Markets, Inc. ("Citigroup

Award FINRA Dispute Resolution In the Mafter of the Arbitration Between: Ann Bell Serrato, Claimant v. Ameriprise Financial Sen/ices, Inc., Respondent Case Number: 06-05318 Hearing Site: Phoenix, Arizona Nature of the Dispute: Associated Person v. Member REPRESENTATION OF PARTIES For Claimant: John D. Singer, Esq. Michael C. Deutsch, Esq. Singer Deutsch, LLP New York, New York For Respondent: Julie Fleming-Wolfe, Esq. Aftorney at Law

stipulated Award FINRA Dispute Resolution In the Mafter of the Arbitration Between: Mafthew Mullane, Claimant v. Tower Square Securities, Inc., Respondent Case Number: 06-04810 Hearing Site: Los Angeles, California Nature of the Dispute: Associated Person v. Member For Claimant: For Respondent: REPRESENTATION OF PARTIES Daniel S. Newman, Esq. Heather Siegel, Esq. Broad and Cassel Miami, Florida Jon A. Jacobson, Esq. Greenberg

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Money Concepts Intemational, Inc. and Money Concepts Capital Corp, Claimants v. ProEquities, Inc. and Mamdoh Aziz Abas, Respondents Mamdoh Aziz Abas, Counter-Claimant v. Money Concepts Intemational, Inc. and Money Concepts Capital Corp, Counter-Respondents Case Number: 01-03420 Hearing Site: Los Angeles, Califomia Nature of the Dispute: Non-Member and Member v. Member and Assoc

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Banc of America Investment Services, Inc., Claimant v. Danny Daniels, Respondent Case Number: 07-01810 Hearina Site: Dallas, Texas Nature of the Dispute: Member v. Associated Person REPRESENTATION OF PARTIES For Claimant: Diane C. Fischer, Esq. Ronald P. Kane, Esq. Deborah A. Mark, Esq. Kane & Fischer, Ltd. Chicago, Illinois For Respondent: Danny Daniels ProSe

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant John J. Grech and Case Number: 04-01744 Hearing Site: Detroit, Michigan Respondents UBS Financial Services, Inc., and Anthony Manaia NATURE OF DISPUTE Customer v. Member and Associated Person REPRESENTATION OF PARTIES John J. Grech ("Grech") was represented by Craig L. Nemeir, Esq., Nemeir, Tolari, Landry, Mazzeo & Johnson, Farmington Hills

Award FINRA Dispute Resolution in the Matter of the Arbitration Between: Ronald Kramer (Claimant) vs. Hennion & Walsh, Inc. (Respondent) Case Number: 06-04608 Hearing Site: Newark, New Jersey Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Ronald Kramer hereinafter referred to as "Claimant": George L. Mahr, III, Esq., Mahr and Mahr, LLC, Madison, NJ. Respondent Hennion & Walsh, Inc., hereinafter referred to as