Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Wachovia Securities, LLC, Claimant v. Alan K. Wise, Respondent Case Number: 06-03416 Hearing Site: Los Angeles, California Nature of the Dispute: Member v. Associated Person REPRESENTATION OF PARTIES For Claimant: For Respondent: Timothy N. Will, Esq. Albert & Will, LLP Torrance, Califomia Alan K. Wise In propria persona Carisbad, California CASE INF

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Victoria Landseadal, Claimant v. E.S. Hope Financial and Victor J. Tokach, Respondents Case Number: 05-01456 Hearing Site: San Diego, Califomia Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: David M. Gilmore, Esq. Gilmore, Wood, Vinnard & Magness Fresno, Califomia For Respondents: Victor Tokach E.S. Hope Finan

Award FINRA Dispute Resolution In the Matter ot the Arbitration Between: Quinn R. Owen and Ann D. Owen, JTWROS, Claimants v. Brian E. Sanders, Clayton R. Sontag and Christopher B. Atteo, Respondents Case Number: 07-00567 Hearing Site: Seattle, Washington Nature of the Dispute: Customers v. Associated Persons REPRESENTATION OF PARTIES For Claimants: Quinn R. Owen Oroville, Washington For Respondents: Norman B. Amoff, Esq. Bud< hart, Wexler &

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Wells Fargo Investments, LLC, Claimant v. Elias M. Lopez-Hakimian, Respondent Elias M. Lopez-Hakimian, Counter-Claimant v. Wells Fargo Investments, LLC, Counter- Respondent Elias M. Lopez-Hakimian, Third-Party Claimant v. Wells Fargo Bank, Third-Party Respondent Case Number: 06-03185 Hearing Site: Los Angeles. California Nature of the Disputes: Member v. Associated Person

Stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Robert Dentice (Claimant) v. CIBC World Markets Corp. (Respondent) Case Number: 06-00535 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Robert Dentice ("Dentice") hereinafter referred to as "Claimant": Howard S. Meyers, Esq., Meyers & Heim LLP, New York, NY. Respondent CIBC Worid Markets Corp.

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-00817 Citigroup Global Markets Holdings, Inc. and Citigroup Global Markets, Inc. d/b/a Smith Barney, ("Claimants") vs. William D. Evans, ("Respondent") ATTORNEYS: For Claimants appeared Gregory R. Crochet, Esq., of the firm Kutak Rock LLP, Atianta, GA. Respondent did not submit an Answer to the Statement of Claim. NATURE OF DISPUTE: Member and Non Member v. Associated Person DATE F

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 06-04813 David Benoit Alan Chepenik Name of the Respondent Hearing Site: Orlando, FL John A. Lang, Jr. Nature of the Dispute: Associated Person vs. Customer. REPRESENTATION OF PARTIES For David Benoit and Alan Chepenik, hereinafter collectively referred to as "Claimants": Terrance A. Bostic, Vice President and Associate Corporate Coun

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants 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 Jason A. Wands Case Number: 06-04542 Hearing Site: Raleigh, North Carolina Nature of the Dispute: Non-Member and Member v. Associated Person. REPRESENTATION OF PARTIES

Stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-07616 Darren P. Gryniuk Names of the Respondents Hearinq Site: Washington, D.C. Citigroup Global Markets Inc., f/k/a Salomon Smith Barney, Inc. Kevin Keating Jack Gmbman Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Darren P. Gryniuk, hereinafter referred to as "Claiman

AWARD FINIRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Gerry Kessler vs. Case Number: 07-00397 Hearing Site: St. Louis, Missouri Name of Respondent Fifth Third Securities, Inc. NATURE OF THE DISPUTE Customer vs. Member REPRESENTATION OF PARTIES Gerry Kessler ("Claimant") was represented by Howard W. Hirschhorn, CPA, Matawan, New Jersey. Fifth Third Securities, Inc. ("Fifth Third" or "Respondent