Finra HNRADR In the Matter of Arbitration Detiveen Case: Citigroup Global Markets. Inc. f/k/a Salomon Smith Barney v. Joseph T. Joseph V. Citigroup Global Markets Docket: 2006-016546 Attorneys: For Claimant(s): Ki:iiiieth tVCkwinor - t>anfoni, NJ For Respondent(s)! Patricia I.. P^Jfic - Pittsburgh, PA 15222 Date Filed: (V2V2006 First Scheduled: HO4-06 Decided: LO-06-08 Case Summary: Clnimanr, a Member Firm, alleges brciicb of contract with n

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: B. Glenn Blair, Emily E. Blair, and Richard Coan as Trustee in Bankruptcy (Claimants) v. Gruntal & Co., L.L.C., Joseph Fedorko, Barry Baum, Frank Lawlor, John Eisele, Hank Gottmann, and John Pellegrino (Respondents) Case Number: 01-05327 Hearing Site: New York, New York Nature of the Dispute: Customers v. Member and Associated Person. REPRESENTATION OF PARTIES Claiman

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Hatter of Arbitration Between Merrill Lyncli, Pierce, Fenner and Smitli, Inc. Claimant V. Mictiael Alexander Respondent NASD No. 88-03180 In a case filed with tiie NASD on October 13. 1988, Claimant Merrill Lynch, Pierce, Fenner & Snith, Inc. (Merrill Lynch) alleges that Respondent Michael Alexander (Alexander) a fomer account representative with Merrill Lynch, Incurred a debit

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Investec Ernst & Company, (Claimant) vs. Edward James Kierans, (Respondent) Case Number: 01-05324 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Investec Ernst & Company, hereinafter referred to as "Claimant": David W. Schmidt, Esq., Lubiner & Schmidt, Cranford, NJ. Previously represented by: Edward L. Rose, Esq., General Counsel, Investec Ernst & Company, Wood

Award NASD Dispute Resolution In the Matter of the Arbitration Between: James G. Cantwell, (Claimant) vs. Salomon Smith Barney Inc., (Respondent) Case Number: 01-05321 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, James G. Cantwell, hereinafter referred to as "Claimant": Robert J. Luddy, Esq., Windels Marx Lane & Mittendorf, LLP, New York, NY. Respondent, Salomon Smith Barney Inc., hereinafter referred to as "Respondent": Jill L.

Finra^^" FINRA DR In the Vlattcr oi Arhirration Between Ca.se: Koilanthy Tzani v. I-'idclily Brokerage Services LLC Docket: 2()0()-U 1665S Attornvys: For Claimant(s): Uric Cirannis- Ntw ^'nrl;, NY For Rc.sponJL'nt(s): Cameron S. Malheson- Richniomi, V.*\ OateFiled: 12/27/200^ First SchcJuIeJ: 01/I«/2008 DccuicJ: 9-ZA-08 Case Summary': l.Jisrniner (.Ihiim.inr HIII'SCS Nrciich uf conrnicr, ni-ylijicncf jini.1 l^reaeh i>f fiLlueijiryilutv r

PACIFIC EXCHANGE, INC. i:: -he Matter =f -.he ) Matter N'c. Cl-LOiS Arbitration Between ) ) 1 Clairr^r.t. ) DECISICK SStgiVA^ ) -apainst- MAR25 2C02 y-:-u=.:- I.Y>:CK PIERCE TL-N-KE?. & ) PCXARBimAT/Or SiVIT:-:, IXC; AND THOMAS SUSAN, i \ RespcT^dencs. ) Th& ur.dersigriCd Arbitrators, I'aving read and cicnsidered tha clniT. subniitted by claixar.t •: "ClaiT.ant") , the arswer of respondents Merrill L'jT.ch, Fierce,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Arthur Alves (Claimant) v. Hilario Larry Rivero, James Michael Carrazza, Dermot Francis Farley, Ronald Allen Furst, Hobbs Melville Securities Corp., and Westminster Securities Corp. (Respondents) Case Number: 01-05320 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Members and Associated Persons. REPRESENTATION OF PARTIES Claimant Arthur Alves ("Alves") here

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Michael C. Young, (Claimant) vs. Deutsche Bank Securities, Inc., (Respondent) Case Number: 01-05316 Hearing Site: Boston, Massachusetts REPRESENTATION OF PARTIES Claimant, Michael C. Young, hereinafter referred to as "Claimant": Terence P. McCourt, Esq., Hanify & King, Boston, MA. Respondent, Deutsche Bank Securities, Inc., hereinafter referred to as "Respondent": Deborah J. Swe

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Wendy Diamond and Wendy Diamond TTEE, Global Liasons Inc. DBF BEN PLAN (Claimants) vs. Whale Securities Co., L.P., a/k/a Bluestone Capital Corp., Matthew A. Gohd and William Walters (Respondents) Case Number: 01-05314 Hearing Site: New York, New York Nature of Dispute: Customer v. Member and Associated Persons REPRESENTATION OF PARTIES Claimants, Wendy Diamond ("Diamond") and We