Award FINRA Dispute Reaolutlon In the Matter of the Artsitration Between: Name of the Claimant Case Number: 08-02373 Katharine Murphy Name of the Respondent Hearing Site: San Francisco. Califomia Charies Schwab & Co., Inc. Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant Katharine Murphy: Richard Pratt, Sante Rosa, Califomia Respondent Charies Schwab & Co., Inc.: Kelly Moynihan, Esq. Keesal, Young & Logan, Long B

Award FINRA Dispute Resolution In ttie Matter of the Arbitration Between: Claimants Case Number. 08-00988 Neil J. Amtz Neil J. Amtz, Custodian for Rio A. Amtz UTMA/WA Kimberly M. Amtz Arntz Family Trust Respondent Hearing Site: Seattle, Washington Raymond James & Associates, Inc. Nature of the Dispute: Customers vs. Member REPRESENTATION OF PARTIES Claimants, Neil J. Amtz, Neil J. Amtz, Custodian for Rio A. Amtz UTMAAA/A, Kimberiy M.

Award RNRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 07-02567 Jerri Curry Name of the Respondents Hearing Site: San Francisco, California Charies Schwab & Co., Inc. and Graham K. Rogney Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant Jerri Curry: Maureen M. Bryan, Esq.. Scramstad & Bryan, P.C. Martinez, California Respondents, Charles

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-04173 H&R Block Financial Advisors, Inc., ("Claimant") vs. Michael J. Parker, ("Respondenf) ATTORNEYS: For Claimant appeared Diane C. Fischer, Esq.. Kane & Fischer, Ltd.. Chicago, IL. Respondent Mrchael J. Parker dki not submit an Answer to the Statement of Claim. NATURE OF DISPUTE: Member vs. Associated Person DATE FILED: November 11.2008 CASE SUMMARY: Claimant alleged that Respondent

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-04139 Raymond James & Associates, Inc., ("Claimant") vs. Tracy Clifford. ("Respondent") ATTORNEYS: For Claimant appeared Kelii Bullington. Esq.. In-house Counsel, St. Petersburg, FL. Respondent Tracy Clifford did not submit an Answer to the Statement of Claim. NATURE OF DISPUTE: Member vs. Associated Person DATE FILED: November 10, 2008 CASE SUMMARY: Claimant alleged breach of contract

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-04335 Howard Braff. ("Claimant") vs. Christopher Alfredo Collins. ("Respondent") ATTORNEYS: Claimant appeared Pro se, Holtsville, NY. Respondent appeared Pro se, Holbrook, NY. NATURE OF DISPUTE: Associate Person v. Associated Person DATE FILED: November 19, 2008 CASE SUMMARY: Claimant alleged that Respondent owes expenses incurred, and balance pursuant an agreement. Claimant mainta

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-02586 Christine M. Powers. ("Claimant") vs. Thomas E. Schwarz, ("Respondent") ATTORNEYS: Claimant appeared Pro se, St. Louis, MO. For Respondent appeared Paula Moore, Esq., Fulbright & Jaworski, L.L.P., Dallas, TX. NATURE OF DISPUTE: Customer v. Associated Person DATE FILED: July 25, 2008 CASE SUMMARY: Claimant alleged that Respondent coerced and managed a ring of deception through

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-04208 Riverstone Wealth Management, Inc., ("Claimant") vs. Jacob Stevenson Carriker, ("Respondent") ATTORNEYS: For Claimant appeared Marc L. Lippincott, Esq., Cary & Lippincott, PLLC, Austin, TX. Respondent appeared Pro se, Austin, TX. NATURE OF DISPUTE; Member vs. Associated Person DATE FILED: November 12, 2008 CASE SUMMARY: Claimant alleged breach of contract for failure to reimb

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 08-02895 Mark Moran Respondent Hearing Site: Phoenix. Arizona Salomon Smith Barney, Inc., n/k/a Citigroup Global Markets, Inc. Nature of the Dispute: Associated Person vs. Member REPRESENTATION OF PARTIES Claimant, Mark Moran, hereinafter referred to as "Claimant": Derek C. Anderson. Esq., Michaels, Ward & Rabinovitz, LLP, Boulder, Colorado. Respon

STIPULATED AWARD FiNRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant TIG Limited vs. Names of Respondents Wachovia Securities, LLC and Charies Daniel O'Connell, Jr. and Name of Third-Partv Claimant Wachovia Securities, LLC vs. Names of Third-Partv Respondents Lance Eric Roberts and Arista Enterprises, Inc. Case Number: 05-03288 Hearing Site: Houston, Texas NATURE OF THE DISPUTE