AWARD FINRA DISPUTE RESOLUTION CASE: 09-03228 Oppenheimer & Co., Inc. (Claimant) vs. Gerald D. Chassang (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Diana H. Sur. Esq.. Oppenheimer & Co., Inc., New York, NY. Respondent appeared pro se, Tampa. FL. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: May 28, 2009 CASE SUMMARY: Claimant asserted the following cause of action; breach of Stabilization Agreements. Claim Data

AWARD FINRA DISPUTE RESOLUTION CASE: 09-04097 Wachovia Securities. LLC (Claimant) vs. Michael W. Wiginton. Sr. (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Renan I. Sugarman, Esq.. Renan Sugarman. P.C. Chicago, IL. Respondent appeared pro se. Jasper. AL. NATURE OF DISPUTE; Member v. Associated Person DATEFILED: July6, 2009 CASE SUMMARY: Claimant asserted the following cause of action: failure to repay promissory note. Claim Data

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 08-03355 Move, Inc. Respondent Hearing Site: Los Angeles, California Citigroup Global Markets, Inc. Nature of the Dispute: Customer vs. MemlDer REPRESENTATiON OF PARTIES Claimant, Move, Inc., hereinafter referred to as "Claimant": Melissa B. Felder, Esq.. Boies. Schiller & Flexner LLP, Washington, DC. Respondent, Citigroup Global Maritets, Inc.,

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of ttie Claimant Case Number 09-00819 Kathleen Castie, Tmstee of the Second John W and Kathleen M CasUe Tmst U/A DTD 05/20/2007 Name of ttie Resoondente Hearing Site: Reno, Nevada Wells Fargo Invesbnente, LLC Forest Lennon Grady Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Kathleen Castle, Tmstee of the Second Jo

Award FiNRA Dispute Resolution In the Matter of the Arbitratton Between: Name of the Claimants Kaneila V. Sarros Kaneila V. Sarros Roth IRA Sarros Family Trust dtd 10/03/2001 Kaneila V. Sarros 4038 Name of the Respondents Traderlght Securities, inc. Advisory Financial Consultants, Ina Ruthe Pessin Gomez Michael John Rukujzo George Edward Dragei Case Number 08-03899 Hearino Site: San Francisco, Califbmia Nature of the Dispute

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimants Case Numljer: 07-03399 Brian A. Kenner Kathleen A. Kenner BKK Holdings, LLC (successor to BKK Acquisition 1) BKK Acquisition II. LLC BKK Acquisition 111, LLC Respondents Hearing Site: San Diego, California Deutsche Banic Securities, Inc. William J. Conn John KryzanowsKi Fred C. Crozier Nature of the Dispute: Customers vs. Member and Associat

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 08-04636 STG Realty Corp. Name of the Respondent Hearina Site: Boca Raton, Florida Raymond James & Associates, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For STG Realty Corp., hereinafter referred to as "Claimant": David A. Weintraub, Esq., David A. Weintraub PA, Ft. Lauderdale, Florida. For Raymond Ja

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number 09-03347 Margaret G. Carglll Revocable Tmst Names of the Respondents Hearing Site: Tampa, Florida Harbor Financial Sen/ices, LLC Cohen Investment Management, Inc. Michael A. Cohen David D. Cohen Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Margaret G. Cargill Revocable Trust, here

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Paul Hollingsworth and Alma F. Hollingsworth, as Tmstees for the Hollingsworth Family Trust, Alma F. Hollingsworth, for her IRA, and Paul Hollingsworth, for his IRA vs. Case Number: 08-00674 Hearing Site: Cincinnati, Ohk) Names of Respondents Morgan Keegan & Company, Inc. and Regions Financial Corporation NATURE OF THE PISPUTE Customers vs.

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Larry Myhre, Edmund O. Templeton, Gerald Tahtinen, Dennis and Heidi Sparacino, Heidi Sparacino, IRA, Bartlett and Doris Richards, Gerald and Nancy Dassow, Indlvidually and as Trustees of the Gerald and Mary Dassow Trust, Shirley Wong, Administrator of the Shirley Wong Profit Sharing Trust, OADS, Inc.. Bonnie Meyers, Individually and as Trustee of the Bonni