STIPULATED AWARD FINRA Dispute Resolution In the Matter of the Arisitration Between: Name of Claimant Ralph E. MacNaughton vs. Names of Respondents Capital Financial Sen/ices, Inc., Dayton Lewis Ault, and John R. Carison Case Number: 08-00391 IHearing Site: Kansas City, Missouri NATURE OF THE DISPUTE Customer vs. Member and Associated Persons REPRgSENTATIQN OF PARTIES Ralph E. MacNaughton ("Claimanr) was represented by John J. Mi

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 08-01348 Tiffany Rayburn Godfrey Revocable Trust, Tiffany Rayburn Rabom, trustee Names of the Respondents Hearino Site: Boca Raton, Florida SunTrust investment Services, Inc. SunTrust Bank Nature of the Dispute: Customer vs. Member and Non-Member. REPRESENTATION OF PARTIES For Tiffany Rayburn Godfrey Revocable Trust, Tiffany Rayburn Rab

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 08-02962 Sivamohan Thurairajah Name of the Respondent Hearing Site: Atlanta, Georgia Fidelity Brokerage Sen/ices, LLC Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Sivamohan Thureirejah, hereinafter referred to as "Claimant": Rebecca C. Davis, Esq., Davis & Griffey, P.A., Celebration, Florida. For Fidelity Br

Stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Capital Growth Financial, L.L.C. Names of the Respondent Gregg Nussbaum Name of the Third Partv Respondent First American Capital Trading Corp. Case Number: 07-02664 Hearing Site: Boca Raton, Florida Nature of the Dispute: Member vs. Associated Person vs. Member. REPRESENTATION OF PARTIES For Capital Growth Financial. L.L.C. ("CGF

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Ciainnants Case Number: 07-02751 Mateo {Holdings, Inc. Santiago Reyes Name of the Respondent Hearing Site: Miami, Florida Spencer Trask Ventures, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Mateo Holdings, Inc. ("MHI") and Santiago Reyes ("Reyes"), hereinafter collectively referred to as "Claimants": Mark Raymond, Esq., Br

AWARD FINRA Dispute Resolution In the Matter of the Ariaitratton Be^Meen: Name of Clalmant/Counter-Resoondent Ralph Davto Diaz vs. CaseNumt)er 07-03445 Hearing Site: Chicago, Illinois Name of Resoondent/Counter-Claimant Chase Investment Servtoes Corp. NATURE OF THgPISPUTg Associated Person vs. Member RgPRESENTATIOM OF PARTIgS Ralph Davto Diaz CCIaimanr) was represented by Mark Astarita, Esq., Beam & Astarita, LLC, Verona, New Jeraey.

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Randy Smith vs. Case Number: 08-01034 Hearing Site: Dallas, Texas Names of Respondents Fluent Financial and Mitch Kramer NATURE OF THE DISPUTE Associated Pereon vs. Non-Member and Associated Pereon REPRESENTATION OF PARTIES Randy Smith ("Claimanr) was represented by David R. Clouston, Esq. and Leslye E. Moseley, Esq., Sessions, Fishman, Nath

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Phillip Rein vs. Name of Respondent Stifel, Nicolaus & Company, Inc. Case Number: 07-01495 Hearing Site: St. Louis, Missouri NATURE OF THE DISPUTE Customer vs. Member REPRESENTATION OF PARTIES Phillip Rein ("Claimant") was represented by Peter Mougey, Esq., Levin. Papantonio, Thomas, Mitchell, Echsner & Proctor, P.A., Pensacola. Florida.

Award FINRA Dispute Resolution In the Matter of the Aristtration Between: NameoftheClalmante: Case Number 07-03054 Maria Brezden, individually and on behalf of the Maria Brezden IRA and as Tmstee of the Brezden Family Trust John Brezden, individually and on behatt of the John Brezden IRA and as Trustee of the Brezden Family Trust Clayton W. Beck, individually on behalf of the Clayton Beck IRA Kathy Beck, individually and on behalf of the Kathy Beck

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number 07-01196 Gary Neiens Respondent Hearing Site: Los Angeles, Califomia Citigroup Global Markets Inc. f/k/a Salomon Smith Bamey Inc. dba Smith Bamey Nature of the Dispute: Associated Person vs. Member REPRESENTATION OF PARTIES Claimant, Gary Neiens, hereinafter referred to as "Claimant": Maureen J. Duris. Esq., Law OfTlces of Maureen J. Duris, Sant