AWARD FINRA DISPUTE RESOLUTION In the Matter of the Arbitration Between: Citigroup Global Maricets, Inc. (Claimant) vs. Jason Bajaj (Respondent) Case Number 08-01147 SITUS: New Yori^. New Yoric. NATURE OF DISPUTE: Member vs. Associated Person. REPRESENTATION OF PARTIES Citigroup Global Markets, Inc., hereinafter referred to as "Claimant": Aimee B. Florin, Esq., Omcic, Henington & Sutciiffe LLP, New Yoric, NY. Jason Bajaj hereinafter referred to

Award FINRA Dispute Resolution in the Matter of the Arbitration Between: Claimant Case Number 08-02130 Phazar Corp. Resrwndent Hearing Site: Dallas, Texas UBS Financial Services Inc. Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant, Phazar Corp., hereinafter refened to as "Phazar^ or 'Claimant": Robert L. Wright, Esq.. Robert L. Wright. P.C. Fort Worth, Texas Respondent, UBS Financial Sen/ices Inc., hereinafter r

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants: Case Number: 08-00186 Ronald G. Locke and Saundra Perry Locke (a.k.a. Saundra L. Peny) Name of the Respondents: Hearing Site: Phoenix, Arizona Alex Amner Bonjkhov; Peter Daniel Viglione; Vincent P. Samoatora; Scott Allan Shapiro and Gregg Adam Lerman Nature of the Dispute: Customers v. Associated Persons REPRESENTATION OF PARTIES C

Award RNRA Dispute Resolution In the Matter of the Ari^itration Between: Name of the Claimant Case Number: 07-02699 Richard E. Blanco Name of the Respondent Hearing Site: Denver, Colorado Morgan Stanley DW. Inc. n/k/a Morgan Stanley & Company, Incorporated Nature of the Dispute: Associated Person vs. Member REPRESENTATION OF PARTIES Claimant Richard E. Blanco: Otto K. Hilbert, II, Esq., Robinson Waters & O'Dorisio, Denver, Colorado Respo

Award FINRA Dispute Resolution In the Matter of the Art)itration Between: Claimant Case Number. 08-00403 Wells Fargo Investments, LLC Respondent Hearing Site: San Francisco, Califbmla Jon D. Armstrong Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant. Wells Fargo Investments, LLC. hereinafter referred to as "Claimant": D. Daxton White, Esq., Kane & Fischer, Ltd., Chicago. Illinois. Respondent did not ente

STIPULATED AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Banc of America Investment Services, Inc. vs. Name of Respondent William Brennan Case Number: 07-03023 Hearing Site: St. Louis, Missouri Member vs. Associated Person Banc of America Investment Services, Inc. ("BAI" or "Claimanr) was represented by Diane C. Fischer, Esq., Ronald P. Kane, Esq., and D. Daxton White, Esq., Kane & Fischer. Ltd

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant/Counter-Respondent James Stephen Davenport vs. Case Number: 08-02542 Hearing Site: Louisville, Kentucky Name of Respondent/Counter-Claimant Frank Black NATURE OF THE DISPUTE Associated Person vs. Associated Person James Stephen Davenport ("Claimant" or "Counter-Respondent") was represented by Danny J. Basil, Esq., Basil Law Firm, Glasgow, Kentucky,

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 08-01449 Haig G. Bogossian and Jean C. Bogossian, Trustees of the Haig G. Bogossian Trust Names of the Respondents Hearing Site: Boca Raton, Florida Morgan Stanley & Co., Incorporated Mace Tamse Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Haig G. Bogossian and Jean C. Bogossian, Trustees o

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-03724 Charles Schwab & Co., Inc.. ("Claimant") vs. Todd D. Stabenow and Sara A. Stabenow. ("Respondents") ATTORNEYS: For Claimant appeared In-house Counsel, Brandon K. Hemley, Esq.. San Francisco, CA. Respondents did not submit an Answer to the Statement of Claim. NATURE OF DISPUTE: Member vs. Customer DATE FILED: October 6. 2008 CASE SUMMARY: Claimant alleged that Respondents

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-03082 Steven Chilinski, ("Claimant") vs. TD Ameritrade. Inc. and Patrick Rowley, ("Respondents") ATTORNEYS: Claimant appeared Pro se, Manitowoc, Wl. For Respondents appeared James J. Vihstadt, Esq., In-house Counsel, TD Ameritrade, Inc.. Omaha, NE. NATURE OF DISPUTE: Customer v. Member and Associated Person DATE FILED: August 25. 2008 CASE SUMMARY: Claimant alleged that Respond