Award FINRA Dispute Resolution In the Matter of the Arbitration Between: STMicroeiectronics N.V. (Claimant) vs. Credit Suisse Securities (USA) LLC (Respondent) C^se Number: 08-00512 Hearing Site: New Yori< , New Yori^ Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant STMicroeiectronics N.V., hereinafter refenred to as "Claimant": Andrew Weissmann, Esq., Jenner & Block LLP, New Yoric, NY. Respondent Credit Suisse Secur

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimante: Case Number 08-01033 Robert L Schneiderman and Karen S. Schneiderman TTEE UAD 05/22/91 FBO Schneiderman Family Toist Karen Schneidemnan, IRA Robert Schneidemian, IRA ResDondent: Citigroup Global Maricete Inc. f/k/a Salomon Smith Bamey Inc. Hearing Site: San Diego. Califomia Nature of the Dispute: Customers vs. Member REPRESENTATION OF PARTIES

Award FINRA Dispute Resolution In the Matter of the Arisitration Between: Claimant Case Number 08-01843 Ameriprise Financial Services, Inc. Respondent Hearing Site: Dallas. Texas Jonathan Scott Hunsucl^er Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant, Ameriprise Financial Services, Inc., hereinafter referred to as "Ameriprise" or "Claimant": Wiii Stute. Esq. and Theresa H. Dykoschal^. Esq., Faegre & Benso

STIPULATED AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant: Case Number 08-01267 Ameriprise Advisor Services. Inc. (fbrmeriy H&R Blocic Financial Advisors, Inc.) Respondent: Hearino Site: Los Angeles, California Antonio Fontana Counter-Claimant: Antonio Fontana Counter-Respondent: Ameriprise Advisor Services, Inc. (fbrmeriy H&R Block Financial Advisors, inc.) Nature of the Dispute: Member vs. Associa

Award FINRA Dispute Resolution in the Matter of the AriDitration Between: Claimant Case Number: 07-02266 AIG Financial Advisors, Inc., individually and as successor in interest to SunAmerica Securities, Inc. Respondent Hearino Site: Phoenix. Arizona Laron D. Shannon III Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant, AIG Financial Advisors. Inc., individually and as successor in interest to SunAmer

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Libor Slechla TTEE LIbor Slechta Trust UA DTD 3/25/96, and Ruth Slechta, Individually and as Personal Representative of the Estate of Libor Slechta, Deceased vs. Names of Respondents Nick Yetter, Dennis J. Yetter, Yetter & Yetter Investment Group, Pnjdential Securities Incorporated (n/k/a Prudential Equity Group. LLC), and Wachovia Sec

Award fl^g^^lsgu^^esojutjon In the Matter of the Arbitration Between: Names of the Claimants Case Number: 08-00756 Khalil AbbasI and David Abbasi Name of the Respondent Hearing Site: Atlanta, Georgia E*TRADE Securities, LLC Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Khalil AbbasI and David Abbasi, hereinafter collectively referred to as "Claimants", appeared pro se. For EM'RADE Securities LLC, hereinafter referred

AWARD FINRA Dispute Resolution in the Matter of the Arbitration Between: Name of Claim^ Lynn M. Mershon vs. Case Number: 07-01847 Hearing Site: Des Moines, Iowa Name of Respondent A.G. Edwards & Sons. Inc. NATURg OF THE DISPUTE Customer vs. Member REPRESENTATION OF PARTIES Lynn M. Mershon ("Claimant") was represented by David H. Correll, Esq., Correll Sheerer, Bensen, Engels Galles & Demro. PLC, Cedar Falls, Iowa. A.G. Edwards &

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 07-02871 TTiomas Michael Ferencak Names of the Respondents Hearing Site: New Orleans, Louisiana Scottrade, Inc. Joseph Ciliberti, Jr. Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Thomas Michael Ferencak, hereinafter refen^d to as "Claimanf: DavkJ L. McGee, Esq., Beggs & Lane,

stipulated Award FINRA Dispute Resolution In tiie Matter of the Arbitration Between: Banc of America Investment Services. Inc. (Claimant) v. Vincent M. Monaco (Respondent) Case Number: 08-00520 Hearino Site: Newark, New Jersey Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Banc of America Investment Services, Inc., hereinafter referred to as "Claimant": Ronald P. Kane, Esq., Kane & Fischer, Ltd., Chicago, IL.