Award FINRA Dispute Resolution In the Matter of the Arisitration Between: James Michael DeRosa (Claimant) vs. TIAA-CREF individual and Institutional Services, LLC (Respondent) Case Number: 08-00921 Hearino Site: New Yoric, New Yorl< Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant James Michael DeRosa hereinafter referred to as "Claimant": Edward F. Broderick, Jr., Esq., Broderick, Newman & Grather. Monistown,

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: George Grafas (Claimant) vs. Whttaker Securities (Respondent) Case Nunnber: 08-01098 Hearing Site: New York. New Yoric Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant George Grafas hereinafter referred to as "Claimant": Charies von Simson, Esq., von Simson & Chin LLP, New York, NY. Respondent Whitaker Securities hereinafter referred to as

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimants Case Number 07-02520 T. Bradley Sprague & Jeannette Sprague Respondents Hearing Site: Austin, Texas Laidlaw & Company (UK) Ltd. and Steven R. Hill Nature of the Dispute: Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Claimants T. Bradley Sprague & Jeannette Sprague hereinafter collectively refened to as "Claimants": Douglass D. Heame, Jr., Es

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Morgan P. Ostrow John B. Ostrow Names of the Respondents Citigroup Global Markets, Inc., f/k/a Salomon Smith Barney, Inc. Jack B. Grubman Case Number: 04-05069 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Morgan P. Ostrow and John B. Ostrow, hereinafte

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-01561 Camille Parrella ("Claimant") vs. Ryan Beck & Co.. Inc.. John Creighton Gallagher, Stifel Nicolaus & Co., Inc. and Stifel Financial Corp. ("Respondents") ATTORNEYS: For Claimant appeared Karen J. Van Ingen, Esq., BLS Legal Services Corp., Brool^lyn, NY. For Respondents appeared Joseph C. Rosa, Esq., In-house Counsel, Stifel, Nicolaus & Co.. Inc., Florham Parl^. NJ. NATURE OF

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-01593 Jeffrey D. Brown {"Claimant") vs. Chase Investment Services Corp, Susan Vanspybrool^, and Lamon Jackson ("Respondents") ATTORNEYS: Claimant appeared Pro se. Garden City, Ml. For Respondents appeared Sheila E. Carson, Esq., In-house Counsel, JP Morgan Chase, N.A.. NewYork. NY. NATURE OF DISPUTE: Customer v. Member and Associated Person DATE FILED: May 19. 2008 CASE SUMMARY

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Kenneth Eugene Dean vs. Case Number: 04-08590 Hearing S'rte: Houston, Texas Names of Respondents l\^errill Lynch, Pierce. Fenner & Smith, Inc. UBS Financial Services, Inc., and Davis M. Denny, il NATURE OF THE DISPUTE Customer vs. Members and Associated Person Kenneth Eugene Dean ("Claimant") appeared pro se. Menill Lynch. Pierce. Fenner & S

Stipulated Award FINRA Dispute Resolution In the Matter of the Arbrtration Between: Claimant Case Number 08-00728 Charies Schwab & Co.. Inc. Respondent Hearing Site: San Francisco, California Amon A. Allahyari Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant, Charies Schwab & Co.. Inc. ("Schwab"), hereinafter refened to as "Claimant": Michael R. Greco, Esq., Fisher & Phillips LLP, Radnor, Pennsylvania Re

Award FiNRA Dispute Resoiution In the Matter ofthe Arbitration Between: Anthony Maccarone, Antoinette Maccarone, Steven B. Horn, Sr., and Tara Horn (Claimants) vs. Brookstreet Securities Corporation, National Financial Services. LLC, Nomnan Robert Mato, Stanley Clifton Brooks. Scott Stanley Brooks, Julie Brooks Mains, and Troy Gagiiardi (Respondents) Case Number: 07-03486 Hearing Site: New York, New York Nature oT tne Dispute: uustomers vs. iviemoers an

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-00442 Citigroup Global Maricets, Inc. ("Claimant") vs. Hal S. Klinger ("Respondent") ATTORNEYS: For Claimant appeared Diane C. Fischer. Esq., Kane & Fischer, Ltd.. Chicago, IL. For Respondent appeared Thomas C. DeVoto, Esq., DeVoto & Benbenek, LLC, St. Louis, MO. NATURE OF DISPUTE: Member vs. Associated Person DATE FILED: February 19. 2008 CASE SUMMARY: Claimant alleged that Respon