Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Bennie R. Frazier and Jo Anne Frazier, TTEES, The Frazier Family Trust, U/A/D 09/07/95 (Claimant) vs. Citigroup Global Markets, Inc., f/k/a Salomon Smith Barney, Inc., and Jack B. Grubman (Respondents) Case Number: 04-05235 Hearing Site: Cincinnati, Ohio Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant The Frazier Family Trust,

AWARD FINRA Dispute Resolution in the Matter of the Arbitration Between: Name of Claimant The Estate of Mildred McCreanor vs. Case Number: 07-02379 Hearing Site: Columbus. Ohio Name of Respondent The Huntington Investment Company NATURE OF THE DISPUTE Customer vs. Member REPRESENTATION OF PARTIES The Estate of Mildred McCreanor ("Claimanr) was represented by David P. Meyer, Esq., Meyer & Associates, Co., LPA. Columbus, Ohio. The

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Jo L. Wright vs. Name of Respondent Morgan Keegan & Company. Inc. Case Number: 08-00647 Hearing Site: Indianapolis, Indiana NATURE OF THE DISPUTE Customer vs. Member REPRESENTATION OF PARTIES Jo L. Wright ("Claimant" or" Wright") was represented by Mari< E. Maddox, Esq., Maddox, Hargett & Caruso, PC, Fishers, Indiana. Morgan Keegan & Com

AWARD FINRA Dispute Resolution In the Matter of the Art^itration Between: Name of Claimant Ameriprise Financial Sen/ices, inc. vs. Name of Respondent Jesse Booker Brown Case Number. 08-00952 Hearing Site: Chicago, Illinois Member vs. Associated Person Ameriprise Financial Services, Inc. ("Claimant" or "Ameriprise") was represented by Will Stute, Esq., Faegre & Benson, LLP, Minneapolis, Minnesota. Jesse Booker Brown ("Respondent" or "

AWARD FINRA Dispute Resolution in the Matter of the Arbitration Between: Name of Claimant Clyde A. Cnjtcher vs. Name of Respondent New England Securities Corp. Case Number: 07-00440 Hearing Site: St. Louis, Missouri NATURE OF THE DISPUTE Customer vs. Member REPRESENTATION OF PARTIES Clyde A. Crutcher ("Claimant" or "Crutcher") was represented by Richard B. Fosher, Esq., Calces & Fosher, LLC, Bethalto. Illinois. New England Se

AWARD FINRA Dispute Resolution In the Matter of the Arisitration Between: Names of Claimants Eugene L. Harrison Trust and Delta A. Harrison Trust vs. Case Number: 08-01240 Hearing Site: Oklahoma City, Oklahoma Name of Respondent UBS Financial Sen/ices. Inc. NATURE OF THE DISPUTE Customers vs. Member REPRESENTATION OF PARTIES Eugene L. Harrison Trust and Delta A. Harrison Trust ("Claimants") were represented by Brian J. Rayment, Esq.,

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: QIaimant Case Number 07-02184 Giobai Crown Capitai, LLC Respondent Hearing Site: San Franciscx>, California Ronald T. Clement pounter-Ciaimant Ronald T. Clement pounter-Respondent Global Crown Capital, LLC Nature of the Dispute: Member v. Associated Person Associated Person v. Member REPRESENTATION OF PARTIES Claimant/Counter-Respondent, Global Crown Capital

Stipulated Award FINRA Dispute Resolution In the Matter of the Ari^itration Behveen: Name of the Claimant Case Number: 08-01633 Gregory Hampy Names of the Resoondente 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 Of

Awsrd FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 08-01553 Lester Victor Christiansen Names of the Resoondente Hearing Site: Boca Raton, Florida Amtrust Investment Services, Inc. Robert Chen Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Lester Victor Christianson, hereinafter referred to as XIaimanf, appeared pro se. For Amtrust Investment

Stipulated Award FINRA Dfaputa Resolution In the Matter of the Arbftration Between: Name of the Claimant Case Number 08-02377 Dolores V. Gardella Names of the Respondents Hearing Site: Boca Raton, Florida Charies Schwab & Co.. Inc. Sean Bies Nature of the Dispute: Customer vs. Member and Associated Person. REPRESEWTATIQN OF PARTIES For Dolores V. Gardella, hereinafter refanad to as "Claimant": John D'Amato, Boca Raton, Florida. For Charl