Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Rosario Modica and Frances Modica (Claimants) vs. Troy L. Gagliardi (Respondent) Case Number: 08-00023 Hearino Site: New York, New York Nature of the Dispute: Customers vs. Associated Person REPRESENTATION OF PARTIES Claimants Rosario Modica ("R. Modica") and Frances Modica ("F. Modica") hereinafter collectively referred to as "Claimants": James A. Prestiano, Esq., The Law Offices

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: William Gomez (Claimant) vs. The Keystone Equities Group, L.P., and William B. Fretz, Jr., (Respondents) Case Number: 06-05265 JHearino Site: Philadelphia. Pennsylvania Nature of the Dispute: Associated Person vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant William Gomez hereinafter referred to as "Claimant": William J. Clements, Esq., Klehr Harrison Harvey

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-02391 Rockwell Securities LLC ("Claimant") vs. Ray Anthony Gamdo San Pedro ("Respondent") ATTORNEYS: For Claimant appeared Daniel Sakol, New York, NY. Respondent Ray Anthony Garrldo San Pedro did not submit an Answer to the Statement of Claim. NATURE OF DISPUTE: Member vs. Associated Person DATE FILED: July 11. 2008 CASE SUMMARY: Claimant alleged that Respondent breached an Emp

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-01913 Lanny A. HonA/itz Revocable Trust, ("Claimant") vs. Citigroup Global Markets, Inc. and David Noble, ("Respondents") ATTORNEYS: Claimant appeared pm se, Jupiter, FL For Respondents appeared in-house counsel Douglas Appel, Esq.. New York, NY. NATURE OF DISPUTE: Customer v. Member and Associated Person DATE FILED: June 12, 2008 CASE SUMMARY: Claimant alleged that Respondents mad

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-02354 Sandra J. Pennington ("Claimant") vs. Main Street Securities, LLC ("Respondent") ATTORNEYS: For Claimant appeared Jeffrey S. Kruske, Esq., Overland Park, KS. For Respondent appeared Rodney K. Vincent, Esq., Lincoln, NE. NATURE OF DISPUTE: Customer v. Member DATE FILED: August 14, 2007 CASE SUMMARY; Claimant alleged misrepresentations, material omissions of fact, failure to su

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-02037 Jessie E. Goff ("Claimant") vs. David Cronan, A.G. Edward & Sons, Inc., and Wachovia Securities, LLC ("Respondents") ATTORNEYS: Claimant appeared Pro se, Versailles, KY. For Respondents appeared Steven L. Satter, Esq., In-house Counsel, Wachovia Securities, LLC, St. Louis, MO. NATURE OF DISPUTE: Customer v. Member and Associated Person DATE FILED: June 20, 2008 CASE SUMMA

FiNRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-01807 Richard Neat Poss ("Claimant") vs. Delta Equity Services Corp. ("Respondent") ATTORNEYS: Claimant appeared Pro se. Marietta, GA. For Respondent appeared Scott Aubrey, In-house Counsel, Boston, MA. NATURE OF DISPUTE: Associated Person v. Member DATE FILED: June 4, 2008 CASE SUMMARY: Claimant alleged commissions owed and unjustly withheld. Claimant further alleged lack of super

RNRA OlSPlfTE RESOLUTION AWARD RNRA DISPUTE RESOLUTION CASE: 08-03204 Paul Randle, Morgan Randle and John Randle, ("Claimants") vs. Citigroup Global Markets, Ina and Howard WSBam Bumett, ("Respondents') ATTORNEYS: Claimants appeared pro se, Plymouth, Ml. For Respondents appeared in-house counsel Douglas Appel, Esq., New York. NY. NATURE OF DISPUTE: Customers v. Member and Associated Person DATE FILED: September 4,2008 CASE SUMMARY: Claimants all

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-02702 Lorraine C. Ross, ("Clalmanf) vs. John Marie Forney, CRespondent") ATTORNEYS: Claimant appeared pro se, Folsom, CA. For Respondent appeared Chad Weaver. Esq.. of the flmn Edgerton & Weaver, LLP, Hermosa Beach, CA. NATURE or DISPUTE: Customer vs. Associated Person DATE FILED: July 30,2008 CASE SUMMARY: Claimant alleged that Respondent breached his fiduciary du^ by misrepre

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-02733 Option hiouse, Inc. ("Claimant") v. Robert Taddeo ("Respondent") ATTORNEYS: For Claimant appeared Lesley G. Smith, Esq., Schopf & Weiss LLP, Chicago, IL. Respondent appeared Pro se, Southington, CT. NATURE OF DISPUTE: l^emberv. Customer DATE FILED: August 5. 2008 CASE SUMMARY: Claimant alleged breach of the Customer Agreement and the other Agreements as a result of Respondent