Award FINRA Dispute Resolution in the Matter of the Arbitration Between: William Joseph Spina (Claimant) vs. Jerome Spina and Teton Partners LLC (Respondents) Case Number: 06-01929 Hearing Site: Boston, Massachusetts Nature of the Dispute: Associated Person vs. Associated Person and Non-Member. REPRESENTATION OF PARTIES Claimant William Joseph Spina hereinafter referred to as "Claimant" appeared pro se. Respondents Jerome Spina ("J. Spina") and Teto

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Thomas Hulick, Claimant v. Citigroup Global Markets, Inc., Respondent Case Number. 07-01031 Hearing Site: Los Angeles, California Nature of the Dispute: Associated Person v. Member REPRESENTATION OF PARTIES For Claimant: Paul Kroeger, Esq. Jeffrey K. Riffer, Esq. Jeffer, Mangels, Butier & Marmaro Los Angeles, California For Respondent: Marcie S. Mintz, Esq. Citi

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 06-02094 Sidney and Sandra Levy Names of the Respondents Hearing Site: Boca Raton, Florida Wachovia Securities, LLC CNL Hospitality Robert DeForest Nature of the Dispute: Customer vs. Member, Non-Member and Associated Person. REPRESENTATION OF PARTIES For Sidney and Sandra Levy, hereinafter collectively referred to as "Claimants": Ron

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Harry A. Gibson, personally, on behalf of the Han7 A. Gibson IRA, and as Trustee of the Harry and Ellen Gibson Family Trust; and Ellen Gibson, personally and as Trustee of the Harry and Ellen Gibson Family Trust, Claimants v. Oregon Pacific Financial Advisors, Inc., AIG Financial Advisors, Inc., and Thomas Benson Gau, Respondents Case Number: 06-02898 Hearina Site: Los A

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Howe Electric, inc., as Trustee of the Howe Electric, Inc. Profit Sharing Plan, Claimant V. The Seidier Companies, Inc., Respondent Case Number: 06-04533 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member REPRESENTATION OF PARTIES For Claimant: Scott R. Shewan, Esq. Born, Rape & Shewan, L.L.P. Clovis, California For Respondent: Peter Brown D

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Behween: Thrivent Investment Management Inc., Claimant v. Gregory J. Nixon and Parrel D. Johnson, Respondents Case Number: 07-00292 Hearing Site: Dallas, Texas Nature of the Dispute: Member v Associated Persons REPRESENTATION OF PARTIES For Claimant: James K. Langdon, Esq. Dorsey & Whitney LLP Minneapolis, Minnesota For Respondents: John T. Palter, Esq. Riney Palt

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 05-04046 RBC Dain Rauscher Inc. Name of the Respondent Hearing Site: Memphis, Tennessee James Crosby Taylor, Jr. Nature of the Dispute: Member v. Associated Person. REPRESENTATION OF PARTIES For RBC Dain Rauscher Inc., hereinafter referred to as "Claimant": Donald S. Arbour, Esq., Arbour Law Firm, Minneapolis, Minnesota. For

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-04374 James W. Gutner (consolidated with 06-04446) Names of the Respondents Hearing Site: Tampa, Florida Robert W. Baird & Company, Inc. Andrew Starostecki In the Matter of the Arbitration Between: Name of the Claimant Case Number. 06-04446 Robert W. Baird & Co., Incorporated (consolidated with 06-04374) Name of the Respondent Hearin

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Richard G. Nadler, Richard Nadler SEP IRA, and Richard G. Nadler Roth IRA vs. Names of Respondents Wells Fargo Investments, L.L.C. and Wells Fargo Brokerage Services, L.L.C. Case Number: 06-03915 Hearing Site: Minneapolis, Minnesota NATURE OF THE DISPUTE Customers vs. Members REPRESENTATION OF PARTIES Richard G. Nadler, Richard Nadler

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Stephen P. Clement (Claimant) vs. Jon Louis Newman (Respondent) Case Number: 07-00367 Hearing Site: New York; New York Nature of the Dispute: Customer vs. Associated Person. REPRESENTATION OF PARTIES Claimant Stephen P. Clement hereinafter referred to as "Claimant" appeared pro se. Respondent Jon Louis Newman hereinafter referred to as "Respondent": Andrew W. Bonekemper, Esq.,