AWARD FINRA Dispute Resolution In the Mafter of the Arbitration Between: Name of Claimant Amy A. Bakowski vs. Case Number: 06-03551 Hearing Site: Southfield, Michigan Names of Respondents Leonard & Company, James W. McLellan, McLellan Capital, Broad Street Securities, Inc., and ING USA Annuity and Life Insurance Company NATURE OF THE DISPUTE Customer vs. Members, Non-Members, and Associated Person REPRESENTATION OF PARTIES Amy A.

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 07-00273 Stanley D. Legum Name of the Respondent Hearing Site: Norfolk, Virginia Citigroup Global Markets, Inc. Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Stanley D. Legum, hereinafter referred to as "Claimant", appeared pro se. For Citigroup Global Markets, Inc., hereinafter referred to as "Respondent"

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Shiriey Jean Jones Smith R. Alex Smith Names of the Respondents Edward D. Jones & Company Putnam Retail Management, LLP Fred Porter Case Number: 05-04107 Hearing Site: Jackson, Mississippi Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Shiriey Jean Jones Smith and R. Alex Smith, hereinaf

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 05-02554 Frances A. Heaton Name of the Respondont Hearing Site: New Orieans, Louisiana Hibernia Investments, LLC Nature of the Dispute: Customer v. Member. REPRESENTATION OF PARTIES For Frances A. Heaton ("Heaton"), hereinafter referred to as "Claimant": Kirk Reasonover, Esq., Reasonover & Olinde, LLC, New Orieans, Louisiana. For Hibern

Award FINRA Dispute Resolution In the Mafter of the Arbitration Betweisn: Stanley Quelle (Claimant) vs. Ehrenltrantz King Nussbaum, Inc. (Respondent) Case Number: 06-02688 Hearing Site: New Yorl< , New York Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Stanley Quelle, hereinafter referred to as "Claimant": Tracey S. Bernstein, Esq., Himmel & Bernstein, LLP, New York, NY. Respondent Ehrenkrantz King Nussbaum,

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Nordo Nissi (Claimant) v. Prudential Equity Group, LLC, Michael W. Kaufman and Debra Kaufman (Respondents) Case Number: 06-03902 IHearinq Site: Boston, Massachusetts Nature of the Dispute: Associated Person v. Member and Customers. REPRESENTATION OF PARTIES Claimant Nordo Nissi hereinafter referred to as "Claimant": Thomas J. Gleason, Esq., Gieason Law Firm, Haverhill, MA.

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Sheldon and Olivia Spitz JTRWS, Spitz Family Partnership LP, and Sheldon Spitz General Partner (Claimants) vs. Timecapital Securities Corporation & Jeffrey Harriton (Respondents) Case Number: 06-02864 Hearinq Site: New York, New York Nature of the Dispute: Customers vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Sheldon and Olivia Spitz JTRWS ("Spitz JTRW

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Umesh Tandon (Claimant) vs. Advest, Inc. and AXA Financial Company (Respondents) Case Number: 05-05363 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member and Non-Member. REPRESENTATION OF PARTIES Claimant Umesh Tandon hereinafter referred to as "Claimant": James A. Batson, Esq. and David Marek, Esq., Liddle & Robsinson, L.L.P., New York, NY. Re

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-00973 Delia Vega (Claimant) vs. Obenweis Securities, Inc. and Jose A. Lopez, Jr. (Respondents) ATTORNEYS: For Claimant Delia Vega appeared Jeffrey M. Gershon, Esq., of the law-firm of Shaheen, Novoselsi^y, Staat, Fiiipowsi^i & Eccleston, P.C, Chicago, IL. For Respondents Obenveis Securities Inc. and Jose A. Lopez, Jr. appeared Joseph C. Wylie, II, Esq. of the law-firm of Bell, Boyd & L

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant/Counter-Respondent Wells Fargo Investments, LLC vs. Case Number: 06-02033 Hearing Site: Houston, Texas Name of Respondent/Counter-Claimant Eduardo M. Tejeda NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES Wells Fargo Investments, LLC ("Claimant" or "Wells Fargo") was represented by Ronald Kane, Esq., Kane & Fischer,