Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Mindy Bokser, Claimant v. Kiriin Securities, Inc., Jay Frost, David Owen Lindner, Andrew Joseph Israel and Anthony Joseph Kirincic, Respondents Case Number: 06-04786 Hearing Site: San Francisco, California Nature of the Dispute: Customer v. Member and Associated Persons REPRESENTATION OF PARTIES For Claimant: Timothy A. Canning, Esq. Richard Sacks Law Offices of Timothy

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 05-05589 Thomas L. Hodges Names of the Respondents Hearing Site: Chariotte, NC Citigroup Global Markets, Inc., f/k/a Salomon Smith Barney, Inc. Christopher Kelts Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Thomas L. Hodges, hereinafter referred to as "Claimant", was represented by Dan Druz

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Deirdre North, individually, Deirdre North, as Trustee FBO Blake A. Riddell Education Trust, and Deirdre North, as Trustee FBO Blair A. Riddell Education Trust, Claimants v. RBC Dain Rauscher Inc. and John Rush Vann, Jr., Respondents Case Number: 06-03506 Hearino Site: Dallas, Texas Nature of the Dispute: Customers vs. Member and Associated Person REPRESENTATION OF PARTI

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Big Apple Fuel, Inc. (Claimant) vs. Penson Financial Services, Inc. (Respondent) Case Number: 07-01034 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Big Apple Fuel, Inc., hereinafter referred to as "Claimant": Benjamin Lapin, Stock Market Recovery Consultants, Inc., Brooklyn, NY. Respondent Penson Financial Servi

stipulated Award FINRA Dispute Resoiution In the Matter of the Arbitration Between: Independent Financial Marketing Group, Inc., IFMG Securities, IFS Agencies, Inc. (Claimants) vs. Michael D. Woodman (Respondent) Case Number: 07-01622 Hearina Site: Boston, Massachusetts Nature of the Dispute: Member and Non-Members vs. Associated Person. REPRESENTATION OF PARTIES Claimants, Independent Financial Marketing Group, Inc., ("Independent Financial"), IFMG

Award FiNRA Dispute Resoiution In the Matter of the Arbitration Between: Ernest S. Matthews (Claimant) vs. Fidelity Brokerage Services, John Lowe, and James Mitchell (Respondents) Case Number: 05-06393 Hearing Site: Boston, Massachusetts Nature of the Dispute: Customer vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant Ernest S. Matthews hereinafter referred to as "Claimant": Christopher M. Pilkerton, Esq., Ruddy Law Office PLLC,

FiNRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-01257 Janney Montgomery Scott LLC (Claimant) vs. Thomas Howard Taylor (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: April 20, 2007 CASE SUMMARY: Claimant alleged that Respondent breached a settlement agr

FiNRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-01358 Citigroup Global Markets, Inc. d/b/a Smith Barney (Claimant) vs. Elmer Johnson (Respondent) ATTORNEYS: For Claimant Citigroup Global Markets, Inc. d/b/a Smith Barney appeared Joan Toro, Esq., of the firm Alonso, Andalkar & Kahn, P.C. Respondent Elmer Johnson appeared pro se, Walla Walla, WA. NATURE OF DISPUTE: Member v. Customer DATE FILED: April 26, 2007 CASE SUMMARY: Cl

FINRA DISPUTE RESOLUTION AWARD FiNRA DISPUTE RESOLUTION CASE: 07-01436 McGinn Smith & Co., Inc., ("Claimant") vs. Derek D. Paulsen and Seth M. Stone, ("Respondents") ATTORNEYS: For Claimant appeared in-house counsel Joseph B. Carr, Esq., Albany, NY. Respondent Derek D. Paulsen appeared pro se, Albany, NY. Respondent Seth M. Stone appeared pro se, Slingerlands, NY. NATURE OF DISPUTE: Member v. Associated Persons DATE FILED: May 2, 2007 CASE S

Award FINRA Dispute Resoiution In the Matter of the Ariaitration Between: Kathleen Ann Hayden, in her capacity as General Personal Representative of the Estate of William F. Deinhard, Claimant v. H&R Block Financial Advisors, Inc. and Jonathan R. Zweifel, Respondents Case Number: 06-04212 Hearing Site: Boise, Idaho Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: G. Mark Brewer, Esq. Brewer