Award FINRA Dispute Resolution In the Matter of the Attitration Between: Name of the Claimant Case Number 07-00350 Jose E. Caiz, IRA Name of the Respondent Hearing Site: San Frandsco, CA Citigroup Global Maricets, Inc. Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant Jose E. Cmz, IRA, hereinafter rsfsrred to as "Claimant": Thomas D. Mauriello, Esq., Law Offices of Thomas D. Mauriello, San Clemento, Caiifomla Resp

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants 1'* Security Assurance, Inc. Amerifirst National Financial, LLC Timothy O. North Names of the Respondents Peal< Securities Corporation Amber D. Cushing David W. Dube Name of Third Party Respondent John J. Pennachio Case Number: 07-02624 (consolidated with 07-03559) Hearing Site: Clearwater, Florida In the Matter of the Arbitrat

Awnrd RNRA DIsputo RMohitlon In the Matter of the Arbitration Between: Nante of the Claimants Sterling Casualty insurance Company; and H & H AgerKy, Inc.; and D & H Claims Sen/Ices, Ina Case Number 07-01108 Name of the Respondents Bear Steams & Co., Inc. n/k/a J.P. Morgan Securities, Inc.; and CIBC Worid Maricets Corp.; and Wachovia Securities, LLC; and Oppenheimer& Co., Inc.; and Michael Hofaney Hearing Site: Los Angeles, Ca

stipulated Award FINRA Dispute Resolution In the Matter of the Artjitration Between: Name of the Claimant Case Number: 07-03387 Marilyn Bloch Name of the Respondents Hearing Site: Boca Raton, Florida Distinctive Financial Service Teresa DiLorenzo LPL Financial Services Linsco/Private Ledger Lincoln Financial Group Nature of the Dispute: Customer vs. Member, Non-Member and Associated Person. REPRESENTATION OF PARTIES Marilyn Bloch, he

AWARD FiNRA Dispute Resoiution In the Matter of the Arbitration Between: Names of Claimants Steven Cole and Anat Cole vs. Names of Respondents GunnAllen Financial, Inc., Ryan Shaw, and Barry Goldstein Case Number: 07-02937 Hearing Site: Southfield, Michigan NATURE OF THE DiSPUTg Customers vs. Member and Associated Persons REPRESENTATION OF PARTIES Steven Cole and Anat Cole ("Claimants") were represented by Anthony V. Trogan, Esq.

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Ptanco Financial Services, LLC vs. Names of Respondents Sarah Habitz and Sean Ritchlln Case Number: 06-03243 Hearing Site: Southfield, Michigan Member vs. Associated Persons Planco Financial Services, LLC ("Claimant") was represented by Kristen Isaacson Spano, Esq., and Marie T. Boonstra, Esq,, Miller, Canfield, Paddock and Stone, PLC. Detroit,

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Patricia M. Sharp (Claimant) vs. B-Trade Sen/ices, Greg Brennan, and Charles Rappold (Respondents) Case Number: 08-00007 Hearing Site: New York, New Yorl< Nature of the Dispute: Associated Person vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant Patricia M. Sharp hereinafter referred to as "Claimant" appeared pro se. Respondents B-Trade Services ("B-Trade"),

Award FINRA Dispute Resolution in the Matter of the Arbitration Between: ceo Investment Services Corp. (Claimant) v. Kenneth L. Cusse. Jr. (Respondent) Case Number: 08-01785 Hearino Site: Buffalo, New York Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant CCO Investment Services Corp., hereinafter referred to as "Claimant": David M. Belcher, Esq., and Christine R. Fitzgerald, Esq., Belcher, Starr & Fitzgerald LLP,

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 08-00685 Dennis Rosenstock Respondent Hearing Site: Los Angeles, Califbmia UBS Financial Services, Inc. Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant, Dennis Rosenstock, hereinafter referred to as "Claimant": James D. Portman, Esq., The Portman Law Firm, PC, Calabasas, Cal'rfomia. Respondent, UBS Financial Services,

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Elliott Haines III Names of the Respondents Citigroup Global Mariiets Inc., 1l\da Salomon Smith Bamey Inc. Jack B. Grubman Case Number 04-05979 Hearina Site: Baltimore, Maryland Nature of the Dispute: Customer vs. Memt)er and Associated Person. REPRESENTATION OF PARTIES For Elliott Haines 111, hereinafter refen^ to as "Claimant": William B.