Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 07-00468 Donald M. Ball, individually and as trustee for the Chick-Fil-A employee trust Names of the Respondents Hearinq Site: Columbia, South Carolina National Securities Corporation National Financial Services, LLC Kevin Guzman Francisco Javier Tineo Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: The Gorak Foundation Trust (Claimant) v. National Securities Corp., and Dean S. Friedman (Respondents) Case Number: 06-00972 Hearina Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant The Gorak Foundation Trust, hereinafter referred to as "Claimant": Daniel L. Carroll, Esq., Ingram Yuzek Gainen Carroll &

Award FiNRA Dispute Resolution In the Matter of the Arbitration Between: Neil E. Roberts (Claimant) vs. Robert Snyder and Salomon Smith Barney, Inc., (Respondents) Case Number: 06-04885 Hearina Site: Boston, Massachusetts Nature of the Dispute: Customer vs. Associated Person and Member. REPRESENTATION OF PARTIES Claimant Neil E. Roberts hereinafter referred to as "Claimant" appeared pro se. Respondents Robert Snyder ("Snyder") and Salomon Smith Barn

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Vinu Patel and Smita Patel (Claimants) v. Merrill Lynch, Pierce, Fenner & Smith, Inc., and Michael Miros (Respondents) Case Number: 05-04592 Hearinq Site: Cincinnafi, Ohio Nature of the Dispute: Customers vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Vinu and Smita Patel hereinafter collectively referred to as "Claimants": Philip D. Sever, Esq., Ernswile

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Steven A. Rothstein vs. Case Number: 06-05019 Hearing Site: Chicago, Illinois Names of Respondents Sky Capital LLC and Ross Mandell NATURE OF THE DISPUTE Associated Person vs. Member and Associated Person REPRESENTATION OF PARTIES Steven A. Rothstein ("Claimant") appeared pro se. Sky Capital LLC ("Sky") and Ross Mandell ("Mandell"). hereinaf

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 05-06369 Davenport Alley Partnership Names of the Respondents Hearing Site: Richmond, VA National Securities Corporation Steven Tatum Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Davenport Alley Partnership, hereinafter referred to as "Claimant": Steven S. Biss, Esq., Richmond, VA.

Stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 07-02021 Citigroup Global Markets Holdings, Inc. f/k/a Salomon Smith Barney Holdings, Inc. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. Name of the Respondent Hearing Site: Boca Raton, Florida Mark A. Evans Nature of the Dispute: Non-Member and Member vs. Associated Person. REPRESENTATION OF PARTIES F

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 05-05807 David and Louise Blumlo Names of the Respondents Hearing Site: Boca Raton, Florida Pacvest Associates, Inc. Robert K. Mann Advisor's Capital Investments, Inc. Barry Kornfeld Nature of the Dispute: Customer vs. Member, Associated Person and Non-Member. REPRESENTATION OF PARTIES For David and Louise Blumlo, hereinafter coll

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Richard Kates (Claimant) vs. GFI Securities. LLC (Respondent) Case Number: 06-02262 IHearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Richard Kates hereinafter referred to as "Claimant": James A. Batson, Esq., Liddle & Robinson, LLP, New York, NY. Respondent GFI Securities, LLC, hereinafter referred to as "

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Citigroup Global Markets, Inc., f/k/a Salomon Smith Barney, Inc. (Claimant) vs. Eric A. Nelson (Respondent) Case Number: 06-05292 Hearina Site: Boston. Massachusetts Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Citigroup Global Markets, Inc.. f/k/a Salomon Smith Barney. Inc.. hereinafter referred to as "Claimant": Erin A. Rowin. Esq..