Award FINI^ Dispute Resolution In the Matter of the AriDitration Between: Names of the Claimante Case Number: 07-02251 Stephen D. Stubbs and Robin L. Stubbs Charies D. Stubbs and Jacqueline S. Stobbs Names of the Respondents Hearing Site: Oriando, FL Matthew Wilson John Means Nature of the Dispute: Customer vs. Associated Person. REPRESENTATION OF PARTiES For Stephen D. Stobbs, Robin L. Stobbs, Charies D. Stubbs, and Jacqueline S. Stobbs,

Award FiNRA Dispute Resoiution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 08-00376 Wachovia Securities, LLC Name of the Respondent Hearina Site: Raleigh, NC Martin D. IHensley Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTiES For Wachovia Securities. LLC C^achovla"), hereinafter referred to as "Claimant": Cliff G. Anderson, Esq., Michael, Ward & Rabinovitz, LLP, Boston, MA. Martin

Award FINRA Dlapute RMohitlon In the Matter of the Arbibation Bebween: NamaofthaCtolmante Thomas J. Bowen Case Number 07-03609 Name of the Reaoondente Hearing Site: Reno, Nevada Edward D. Jones, LLP Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant, Thomas J. Bowen: Kenneth J. McKenna, Esq.. Reno, Nevada Respondent, Edward D. Jones, UP: Edward A. Barfcei, Esq., Lewis and Roca LLP, PtK>enbc, Arizona CASE INFORM

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number 07-02892 OptionsHouse, Inc. Respondents Hearina Site: Denver, Colorado James Leonard Bateman James Leonard Bateman Roth Retirement Nature of the Dispute: Member vs. Customers REPRESENTATION OF PARTIES Claimant, OptionsHouse. Inc.. hereinafter referred to as "Claimant": Milnor H. Senior III. Esq.. Silvemian Law Firm, P.C, Englewood, Colorado Resp

STIPULATED AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Albert G. Watkins and Nancy M. Watkins vs. Names of Respondents Wedgewood Partners, Inc. and Anthony L. Guerrerio Case Number: 07-02217 Hearing Site: St. Louis, Missouri NATURE OF THE DISPUTE Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Albert G. Watkins and Nancy M. Watkins ("Claimants") were represented

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Citigroup Global Markets, Inc., f/k/a Salomon Smith Barney, Inc. (Claimant) vs. Clifford Bartlett, III (Respondent) Case Number: 08-00918 Hearina Site: New York, New York Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Citigroup Global Markets, Inc., f/k/a Salomon Smith Barney, Inc.. hereinafter referred to as "Claimanf: Kenneth O'Connor,

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Paul Himmelstein (Claimant) vs. ING Financial Partners, Inc., successor to, Washington Square Securities. Inc. (Respondent) Case Number: 06-02156 Hearina Site: Hartford, Connecticut Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Paul Himmelstein ("Claimant"): Matthew Dallas Gordon, Esq., Law Office of Matthew Dallas Gordon, West Hartford

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Roberto Redondo and Paulina Malo (Claimants) vs. Goldman Sachs & Co. (Respondent) Case Number: 07-01421 Hearina Site: New York, New York Nature of the Dispute: Associated Persons vs. Member. REPRESENTATION OF PARTIES Claimants Roberto Redondo ("Redondo") and Paulina Malo ("Malo"), hereinafter collectively referred to as "Claimants": Steven R. Pounian, Esq., Kreindler & Kreindie

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Garrett Going (Claimant) vs. Syndicated Capital, Inc., Lloyd McAdams, and Faith Lee (Respondents) vs. Robert Gillin and Brian P. King (Third-Party Respondents) Case Number: 04-06761 Hearina Site: New York, New York Nature of the Dispute: Initial Claim: Associated Person vs. Member and Associated Persons. Third-Party Claim: Member and Associated Persons vs. Associated Persons.

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Metropolitan Life Insurance Company (Claimant) vs. Mitch Doren, Phyllis Killeen, Richard Gilman. William Cratty. Robert Murphy, Jr., Erich Ingram, William LeClair, Adam Sherman, Tom Curran, Brian Doherty, Dan Curran, Alex Doren, The Guardian Life Insurance Company of America, Park Avenue Securities, LLC, a wholly owned subsidiary of The Guardian Life Insurance Company of America (Respo