AWARD FINI^ Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Catherine L. Manoni vs. Case Number: 08-03024 Hearing Site: St. Louis Names of Respondents Moloney Securities Company, Inc. and Michael Thomas Standley Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Catherine L. Manoni ("Claimanr) appeared pro se. Moloney Securities Company, Inc. ("Moloney Securities") and Michael Thomas Stan

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Jacqueline Knoll vs. Case Number: 08-00231 Hearing Site: Detroit, Michigan Names of Respondents Citigroup Global Markets, Inc., Smith Barney, Inc., Citigroup, and David A. Knoll, Deceased NATURE OF THE DISPUTE Customer vs. Members, Non-Member, and Associated Person REPRESENTATION OF PARTIES Jacqueline Knoll ("Claimant") was represented by Dav

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Edward Santangelo Irrevocable Qualified Annuity Tmst U/A 3-11-07, by Raynold A. Schmick, Trustee vs. Names of Respondents Fifth Third Securities, Inc. and Jeremy Woolcott Case Number: 08-01798 Hearing Site: Detroit. Michigan NATURE OF THE DISPUTE Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Edward Santangelo Irrevocable

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Maxim Group LLC (Claimant) vs. Andrey V. Tkatchenko (Respondent) Case Number: 08-02122 Hearing Site: Newark, New Jersey Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Maxim Group LLC hereinafter referred to as "Claimant": Christopher G. Massey, Esq., Maxim Group LLC, New Yoric, NY. Previously represented by James E. Slegel. Esq., Maxim Gr

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Ryan Beck & Co. (Claimant) vs. William Bucci (Respondent) Case Number: 07-01842 Hearino Site: Philadelphia, Pennsylvania consolidated with Ryan Beck & Co. (Claimant) vs. Genan-o Vuono (Respondent) Case Number: 07-01843 Hearing Site: Philadelphia. Pennsylvania Nature of the Dispute: 07-01842: Member vs. Associated Person 07-01843: Member vs. Associated Person REPR

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-04758 Jason Wallace Quails, ("Claimant") vs. Northwestern Mutual Investment Services. LLC, ("Respondent") ATTORNEYS: Claimant appeared pro se, Murfreesboro, TN. For Respondent appeared Rebecca Brinkley, Esq.. Waller, Lansden, Dortch & Davis, LLP. Nashville, TN. NATURE OF DISPUTE: Associated Person v. Member DATE FILED: December 15, 2008 CASE SUMMARY: Claimant alleged that Respondent

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-04503 Sylvia Ferber TTEE U/A 11/13/97 by Sylvia Ferber. ("Claimant") vs. Merrill Lynch, Pierce, Fenner & Smith, Inc., ("Respondent") ATTORNEYS: For Claimant appeared Mark A. Tepper, Esq., Mark A. Tepper, P.A., Fort Lauderdale, FL. For Respondent appeared Julie W. Portera, Esq., Maynard, Cooper & Gale, PC, Birmingham, AL. NATURE OF DISPUTE: Customer v. Member DATE FILED: November 28, 200

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-04550 Douglas Boynton Quine, ("Claimant") vs. Computershare Securities Corporation, ("Respondent") ATTORNEYS: Claimant appeared Pro se, Bethel, CT. For Respondent appeared April J. Lindauer, Esq., In-house Counsel, Chicago. IL. NATURE OF DISPUTE: Customer v. Member DATE FILED: December 2, 2008 CASE SUMMARY: Claimant alleged egregious breach of fiduciary responsibility and market fai

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 08-01409 Marina Pacific Associates, LP, a Califomia limited partnership Respondent Hearino Site: San Francisco, California Wells Fargo Institutional Securities, LLC. a Delaware limited liability company, and Wells Fargo Brokerage Services, LLC, a Delaware limited liability company Nature of the Dispute: Customer vs. Members REPRES

Award FINRA Disputa Resolution In the Matter of the Arbitration Between: Claimant Case Number: 08-00696 James Lassiter Respondents Hearing Site: San Diego. California WaMu Investments, Inc. Matthew William Murphy Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant, James Lassiter. hereinafter refen-ed to as "Claimant": Thomas E. Wenbourne, Esq.. Attorney at Law, El Cajon. California. Res