Award HNRA Dtoputo Resolution In the Mattarof the Ariaitration Between: Name of the Claimant Case Number 08-02768 Marie Rossel Name of the Respondent Hearing Site: Los Angeles, CalHbmia Menill Lyrtch, Pierce, Fenner & Smith Incorporated Nature of the Dispute: Associated Person vs. Member REPRESENTATION OF PARTIES Claimant Marie Rossel hereinafter referred to as "CiaimanT: Enivin J. Shustek, Esq., Shustek Frost & Partners, San Diego, CalHb

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Nanie of the Clainnants Case Number 07-02062 Glen F. Stone Sandra L. Stone Nanne of the Respondent Hearing Site: Dallas, Texas Merrill Lynch. Pierce. Fenner & Smith Incorporated Nature of the Dispute: Customers vs. Memk>er REPRESENTATION OF PARTIES Claimants Glen F. Stone ("G. Stone") and Sandra L. Stone ("S. Stone") hereinafter collectively referred to as "Claim

AWARD FINRA Dispute Resolution In the l\1atter of the Arbitration Between: Name of Claimant Citigroup Global i^^arkets, Inc. vs. Case Number: 08-04913 {Hearing Site: Chicago, llllnois Name of Respondent Robert J. Slowik NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES Citigroup Global Mari^ets, Inc. ("Claimant" or "Citigroup") was represented by Matthew B. Henneman, Esq. and Jennifer L. Moseley, Esq.. Watt,

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 08-02640 Virginia G. Stevens and Ben R. Stevens Names of the Respondents Hearing Site: Birmingham, Alabama Colonial Brokerage, Inc. Gerald Hester Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Virginia G. Stevens ("V. Stevens") and Ben R. Stevens ("B. Stevens"), hereinafter collectiv

AWARD FINRA Dispute Resolution In the (Matter of the Arbitration Between: Name of Claimant / Counter-Respondent ceo Investment Services Corporation vs. Case Number: 08-02227 IHearing Site: Detroit. Michigan Name of Respondent / Counter-Claimant Ismail Jamoua NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES ceo Investment Services Corporation ("CCO" or "Claimant") was represented by David M. Belcher. Esq., a

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Gary Brent Mayes, Individually and as Guardian of the Estate of Elwin D. Mayes vs. Case Number: 08-02698 Hearing Site: Houston, Texas Name of Respondent Charles Schwab & Co., Inc. NATURE OF THE DISPUTE Customers vs. Member REPRESENTATION OF PARTIES Gary Brent Mayes ("Mayes"), Individually and as Guardian of the Estate of Elwin D. Mayes ("Es

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Eugene R. Marquardt vs. Case Number: 07-01543 Hearing Site: Cleveland, Ohio Names of Respondents KeyBanc Capital Markets. Inc. a/k/a McDonald Investments, Inc.. John L. Schlifer, Brian M. Brennan, KeyCorp, and Patricia J. Wyant MATURE OF THE DISPUTE Associated Person vs. Member, Associated Persons, and Non-Members REPRESENTATION OF PARTIES

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant/Counter-Resoondent Joshua D. Rogers vs. Case Number: 07-03502 IHearing Site: Chicago, Illinois Name of Resoondent/Counter-Claimant Ameriprise Financial Services, Inc. NATURE OF THE DISPUTE Associated Person vs. Member ^REPRESENTATION OF PARTIES Joshua D. Rogers ("Claimant" or "Rogers") was represented by Troy C. Owens, Esq.. Owens & Laughlin, LLC

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Citigroup Global Martcets, Inc. vs. Case Number: 08-00466 Hearing Site: Cleveland. Ohio Name of Respondent Thomas Anthony Banus Member vs. Associated Person REPRESENTATION OF PARTIES Citigroup Global Maricets, Inc. ("Claimant" or "Citigroup") was represented by Gregory B. Simon, Esq.. Kane & Fischer, Ltd., Chicago, Illinois. Thomas Anthony Banus

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Morgan Stanley & Co., Inc. (Claimant) vs. Michael Desfor (Respondent) Case Number: 08-03446 Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Morgan Stanley & Co., Inc., hereinafter referred to as "Claimant": Alan S. Brodherson, Esq.. Law Office of Alan Brodherson. New York, NY. Respondent Michael Des