FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-03754 Paul Sullivan, ("Claimant") vs. Smith Barney, a division of Citigroup Global Markets. Inc., ("Respondent") ATTORNEYS: For Claimant appeared Scott C. DeLaura, Esq., of the frrm Palumbo & DeLaura. LLC. New Haven, CT. For Respondent appeared In-house counsel Adam Kauff, Esq.. New York, NY. NATURE OF DISPUTE: Customer vs. Member DATE FILED: Octobers, 2008 CASE SUMMARY: Claima

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-03632 Xian Jun Yang ("Claimant") vs. Westrock Advisors, Inc. ("Respondent") ATTORNEYS: Claimant appeared Pro se. Flushing. NY. For Respondent appeared Christopher R. Travis, Esq., Lazare, Potter & Giacovas LLP, New York. NY. NATURE OF DISPUTE: Customer v. Member DATE FILED: Octobers. 2008 CASE SUMMARY; Claimant alleged that Respondent violated professional code of conduct by op

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Irene G. O'Mara (Claimant) vs. Goldman Sachs & Co. (Respondent) Case Number: 08-02899 Hearing Site: Manchester, New Hampshire Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Irene G. O'Mara hereinafter referred to as "Claimant": Richard B. Fosher, Esq., Oakes & Fosher, LLC, Bethalto, IL. Respondent Goldman Sachs & Co., hereinafter referred to as "

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-02435 William A. Young ("Claimant") vs. Alfred J. Oliva and Harmony Executions Inc. ("Respondents") ATTORNEYS: Claimant appeared Pro se, Fishkill, NY. For Respondents appeared Alfred J. Oliva, New York, NY. NATURE OF DISPUTE: Associated Person v. Member and Associated Person DATE FILED: July 18, 2008 CASE SUMMARY; Claimant alleged money owed pursuant to a partnership agreement.

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-03100 Jay H. Ryckman ("Claimant") vs. Joseph Stevens & Co., Inc. ("Respondent") ATTORNEYS: Claimant appeared Pro se, Sayreville, NJ. For Respondent appeared Michael C. Farkas, Esq.. New York, NY. NATURE OF DISPUTE: Customer v. Member DATE FILED: September 3, 2008 CASE SUMMARY; Claimant alleged that Respondent illegally took money from his account. Claimant maintained that as a resu

FINRA DISPUTE RESOLUTION STIPULATED AWARD FINRA DISPUTE RESOLUTION CASE: 08-03497 Kevin M. Kloski ("Claimant") vs. Merrill Lynch, Pierce, Fenner & Smith Incorporated ("Respondent") ATTORNEYS: Claimant appeared Pro se, Newington, CT. For Merrill Lynch, Pierce, Fenner & Smith Incorporated appeared Christin M. Choi, Esq., Rubin, Fortunate & Harbison. P.C, Paoli, PA. NATURE OF DISPUTE: Associated Person v. Member DATE FILED: September 29, 2008 C

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: James C. Martin, an adult individual and as Executor of the Estate of Barbara Martin (Claimants) vs. Ronald Roy Wetzel, Jr., Solomon Smith Barney and Legg Mason Wood Walker, Incorporated (Respondents) Case Number: 07-00977 Hearina Site: Philadelphia, Pennsylvania Nature of the Dispute: Customers vs. Associated Person and Members. REPRESENTATION OF PARTIES Claimants James C. Mar

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-03157 William E. Tucker ("Claimant") vs. Diesel Energy International, L.LC. ("Respondent") ATTORNEYS: Claimant appeared Pro se, Atlanta, GA. Respondent Diesel Energy International, L.LC. did not submit an Answer to the Statement of Claim. NATURE OF DISPUTE: Associated Person v. Member DATE FILED: Septembers. 2008 CASE SUMMARY: Claimant is seeking expungement of his employment histo

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Kiriin Securities, Inc. (Claimant) vs. Edward Deicke, Frank Nargentino, Joseph DiSanza, Matthew Senicola, Marcello Lattuca, Edward Wells, and GunnAllen Financial (Respondents) vs. David O. Lindner and Anthony Kirincic (Third Party Respondents) Case Number: 05-03716 Hearing Site: New Yori^, New York Initial Claim Nature of the Dispute: Member vs. Associated Persons and Member. Third

STIPULATED AWARD FiNRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Patricia Tumer vs. Case Number: 08-01574 Hearing Site: Kansas City, Missouri Names of Respondents E*Trade Securities, LLC and Glenn Graepel NATURE OF THE DISPUTE Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Patricia Tumer ("Claimant") was represented by Jason M. Kueser. Esq., The Nygaard Law Firm, Leawood, Kansa