Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants Etizalaeth Luster, individually, and Elizabeth Luster, Tmstee of The Elizabeth S. Luster Tmst Case Number 06-05086 Name of the Respondents HearinoSlte: Los Angeles, Califomia Morgan Stanley DW Inc. f/k/a Dean Witter Reynolds, Inc., and Albert S.Gersh Nature of the Dispute: Customers vs. Member and Associated Person REPRESENTATION OF PARTIES

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Ciaimant Timothy I. Montreuil and Deborah Montreuil TEN IN COM Names of the Respondents Citigroup Global Markets, Inc., f/k/a Salomon Smith Barney, Inc. Jack B. Grubman Case Number 04-05904 Hearing Site: New Orleans. Louisiana Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Timothy I. Montreuil and

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimants Amardeep Misha Elizabeth Twaddell The Amardeep Misha And Elizabeth Twaddell Living Tnjst U/A DTD 8/22/01 Respondents Stone & Youngberg, LLC David Lowi William Evans, III Case Number 08-00326 Hearing Site: San Francisco, Califomia Nature of the Dispute: Customers vs. Member and Associated Persons REPRESENTATION OF PARTIES Claimants, Amar

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 07-02901 Kenneth E. Chyten Respondent Hearing Site,: Los Angeles, California United Capital Maricets, inc. Dennis John Devaney Nature of the Dispute: Customer vs. i\1ember and Associated Person REPRESENTATION OF PARTIES Ciaimant Kenneth E. Chyten hereinafter referred to as "Claimant": Robert A. Uhl, Esq. Aidikoff, Uhl & Bakhtiari, Beveriy Hills, Ca

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Ciaimant Case Number: 07-03440 RBC Dain Rauscher inc. Name of the Respondent Hearino Site: IVIemphis, Tennessee William T. Scull Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For RBC Dain Rauscher Inc., hereinafter referred to as "Claimant": Donald S. Arbour, Esq.. Attorney at Law. Minneapolis. MN. For William T. Scull, herei

Stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Woodbury Financial Sen/ices, Inc.. vs. Respondents Mayra J. Angulo and Mark Istas Counter-Claimants Mayra Angulo and Mark Islas vs. Counter-Respondents Woodbury Financial Sen/ices, Inc. Case Number 08-00948 Hearing Site: Phoenix, Arizona Nature of the Dispute: Meml3er vs. Associated Persons Associated Persons v. Member REPRESE

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Citigroup Global Markets, Inc., f/k/a Salomon Smith Barney (Claimant) vs. Matthew R. McCabe (Respondent) Case Number: 08-00087 Hearing Site: Albany. New York Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Citigroup Global Markets, Inc., f/k/a Salomon Smith Barney hereinafter referred to as "Claimant": Ken O'Connor. Esq., Lubiner & Schmid

FINRA DISPUTE RESOLUTION STIF)ULAT£D AWARD FINRA DISPUTE RESOLUTION CASE: 08-01852 Detx}ra A. Yenny-Wittlinger ("Claimanf) vs. Merrill Lynch, Pierce, Fenner & Smith Incorporated ("Respondent") ATTORNEYS: Claimant appeared Pro se. Advance, NC. For Merrill Lynch, Pierce, Fenner & Smith Incorporated appeared Chrlstin M. Choi, Esq., Rubin, Fortunate & Harbison, P.C., Paoli, PA. NATURE OF DISPUTE: Associated Person v. Member DATE FILED: June 9,2008

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-01305 John T. Bianchette (Ciaimant/Counterclaim Respondent) vs. FFP Securities, Inc. (Respondent/Counterclaim Claimant) ATTORNEYS: Claimant/Counterclaim Respondent appeared Pro se, Henderson, KY. For Respondent/Counterclaim Claimant appeared Jessica F. Longobardi, Esq., Sichenzia. Ross, Friedman, Ference. LLP, New York, NY. NATURE OF DISPUTE: Associated Person v. Member DATE FILED

Stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Neuberger Berman, LLC vs. Shari K. Mason, Jeffrey R. Tuci^er, Steven J. Mascitelli, Seamus Monschein, and RBC Capital Markets Corporation Case Number: 08-04122 Hearing Site: New Yori< , New York Nature of the Dispute: Member vs. Associated Persons and Member. REPRESENTATION OF PARTIES Claimant Neuberger Bernian, LLC, hereinafter referred to as "Claimant": Jonathan C.