AWARD FINRA Dispute Resolution in the Matter of the Arbitratton Between: Name of Claimant Katherine Knutson vs. Case Number: 07-02229 Hearing Site: Minneapolis, Minnesote Name of Respondent RBC Dain Rauscher, Inc. NATURE OF THE DISPUTE Customer vs. Member REPRESENTATION OF PARTIES Katherine Knuteon ("Claimanf) was represented by Joseph W. Anthony, Esq., Anthony Ostlund & Baer, PA, Minneapolis, Minnesote. RBC Dain Rauscher, Inc. (

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number 07-03051 Sylvia Vail Respondents Hearina Site: San Francisco, California Putnam Retail Management Limited Partner Domenic J. Accetta Nature of the Dispute: Customer vs. Member and Associated Pereon REPRESENTATION OF PARTIES Claimant Sylvia Vail hereinafter refened to as "Claimant": Sylvia Vail, In Pro Se, Tiburon, Califomia. Respondents, Putnam

Award RNRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 07-01521 Robert Shepherd Name of the Respondent Hearing Site: Los Angeles, California Marshall J. Field Name of the Third-Party Claimant Marshall J. Field Name of the Third-Partv Respondente Emmett A. Larldn Company, Inc. and Southwest Securities, Inc. Nature of the Dispute: Customer vs. Associated Person Associated Person vs. Me

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number 07-01839 Shannon C. Miller Respondents Hearing Site: Seattto. Washington WM Financial Services. Inc. Paul Chad Budnek Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant, Shannon C. Miller, hereinafter referred to as "Claimanf: Shannon C. Miller, Collins, Mississippi Respondente. WM Financial Servi

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant: Case Number. 08-00259 Jonathan A. Zarate Name of the Respondent: Hearina Site: Dallas, Texas Wells Fargo Investments, LLC Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant. Jonathan A. Zarate. hereinafter referred to as "Claimant": Jason A. Richardson, Esq., Shepherd Smith & Edwards L.L.P., Houston, Texas Respondent, Wel

Award FINRA Dispute Resolution in the Matter of the Arbitration Between: Claimant Case Number: 07-02490 The Pueblo of Zuni Tribe ResDondent Hearing Site: Albuquerque, New Mexico Citigroup Global Maricets, Inc. Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant The Pueblo of Zuni Tribe hereinafter referred to as "Claimant": Mario J. Martinez, Esq., Law Offices of Mario J. Martinez, El Paso, Texas. Respondent Citigro

AWARD FINRA Dispute Resolution In the Matter of the Arbitratk>n Between: Names of Claimants Donal & Mary Demet vs. Names of Respondents Robert W. Baird & Company, Inc., Thomas M. Linn, and Richard D. Cudahy Case Number: 08-00716 Hearing Site: Milwaukee, Wisconsin 'SPUTE Customers vs. Member and Associated Persons Donal & Mary Demet ("Claimants") were represented by Paul R. Erickson, Esq., Cutglass, Erickson, Bonnvilie & Larson, S

STIPULATED AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Citigroup Global Mari< ets Inc. vs. Case Number 08-00620 Hearing Site: Cincinnati. Ohio Name of Respondent John M. Kopeck Associated Person vs. Member REPRESENTATION OF PARTIES Citigroup Global Martlets Inc. ("Claimanr or "Citigroup") was represented by Diane C. Fischer. Esq.. Ronald P. Kane. Esq., and D. Daxton White. Esq., Kane & Fischer

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Linda I. Meyers as Executrix of the Estate of George J. Wolfgang (Claimant) vs. Leslie P. Shenkler (Respondent) Case Number: 08-00184 Hearing Site: Newark, New Jersey Nature of the Dispute: Associated Person vs. Associated Person. REPRESENTATION OF PARTIES Claimant Linda I. Meyers as Executrix of the Estate of George J. Wolfgang, hereinafter referred to as "Claimant": Peter S.

Stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Banc of America Investment Services, Inc. (Claimant) v. Warren M. Rockmacher (Respondent) Case Number: 07-00345 • Hearing Site: New York, New York Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Banc of America Investment Services, Inc., hereinafter referred to as "Claimant": Diane C. Fischer, Esq., Kane and Fischer, Ltd., Chic