Award HNRA Disputa Resolution In the Matter of the Arbitration Between: Name of the Ciaimant Case Numt>er 08-01584 Donna Main Name of the Respondents Hearino Site: Los Angeles, California Wachovia Securities, U-C and Gerald Stanford Monis Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Ciaimant, Donna Main, Los Alamitos, Califomia, appeared pro se Respondent Wachovia Securities, LLC CWachovia") and

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number 07-03481 Jeannette Johnson Respondents Hearing Site: San Francisco. Califbmia Linsco/Private Ledger Corp. Jesse Gontez Jr. Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant, Jeannette Johnson, hereinafter referred to as "Claimanf: Scott R. Shewan, Esq., Bom, Pape & Shewan, L.L.P., Clovls, Califbmia

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimants Case Number 07-01083 Terry L. Haines Jimmy H. Haines Respondents Hearing Site: Las Vegas, Nevada James B. Catledge John W. Thomson Christopher H. Zocicoll Investment Management Corporation Nature of the Dispute: Customers vs. Associated Persons and Member REPRESENTATION OF PARTIES Claimants, Teny L. Haines and Jimmy H. Haines, hereinafter collectively

Award FINRA Dispute Resolution In the Matter of the Artsitration Between: Claimants Philip G. Loughman Cynthia L. Loughman Respondent Memli Lynch Pieroe Fenner & Smith inc. Case Number 08-01696 Hearing Site: Denver, Colorado Nature of the Dispute: Customers vs. Member REPRESENTATION OF PARTIES Claimants, Philips G. Ijoughman and Cynthia Loughman. hereinafter collectively refened to as "Claimants": Jeffrey J. Scott. Esq.. Scott & Asso

Award FINRA Dispute Resolution In the Matter of the Arisitration Between: Name of the Claimant: Citigroup Global Martcets, Inc. Case Number: 08-00217 Name of the Respondent: Tommy N. Sausley Hearing Site: Houston, Texas Name of Counter-Claimant Tommy N. Sausley Name of Counter-Respondent Citigroup Global Martlets, inc. Nature of Dispute: Member vs. Associated Person Associated Person vs. Member REPRESENTATION OF PARTIES C

Award RNRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Numt)er: 08-00301 Tyrone Bert Tabak Name of the Respondent Hearino Site: Las Vegas, Nevada Wedbush Morgan Securities, Inc. Nature of the Dispute: Associated Person vs. Member REPRESENTATION OF PARTIES Claimant Tyrone Bert Tabak: Fred N. Tabak. Esq., Tabak and Tapper, Milwaukee, Wisconsin Respondent Wedbush Morgan Securities, Inc.: Charies LaChau

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 08-01633 Gregory Hampy Names of the Respondents Hearing Site: Charlotte, North Carolina Synergy Investment Group, L.L.C. Jeffrey D. Jones Nature of the Dispute: Associated Person v. Member and Associated Person. REPRESENTATION OF PARTIES For Gregory Hampy, hereinafter referred to as "Claimant": Douglas F. Stone, Esq., Law Off

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Fahrudin Sinanaj, Duane Winchester, Tyre Newsome, and John Suh (Claimants) vs. Maxim Group, LLC (Respondent) Case Number: 07-00130 Hearino Site: New York. New York Nature of the Dispute: Associated Persons vs. Member. REPRESENTATION OF PARTIES Claimants Fahrudin Sinanaj ("Sinanaj"), Duane Winchester ("Winchester"), Tyre Newsome ("Newsome"), and John Suh ("Suh"), here

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: The Jeffrey Matthews Financial Group, LLC (Claimant) vs. Benjamin Michael Miceli (Respondent) Case Number: 08-02407 Hearina Site: Newark, New Jersey Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant The Jeffrey Matthews Financial Group, LLC ("Claimant"): Kenneth A. Elan, Esq.. Law Office of Kenneth Elan, New York, NY. Respondent Benjami

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-02945 Michael W. Casey ("Claimant") vs. Michael Paul Nocella, Kraig Barrence Pivnick, and Wunderlich Securities, Inc. ("Respondents") ATTORNEYS: Claimant appeared Pro se, Fallbrook, CA. For Respondent Michael Paul Nocella appeared Stephen B. Wexler, Esq., Burkhart, Wexler & Hirschberg, LLP. Garden City, NY. Respondent Kraig Barrence Pivnick appeared Pro se. Long Beach, NY. For Resp