Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 07-00268 Raymond James Financial Services, Inc. Name of the Respondent Hearing Site: Boca Raton, Florida Joseph D. Duerr Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Raymond James Financial Services, Inc. ("RJFS"), hereinafter referred to as "Claimant": Erin K. Linehan, Esq., Raymond James Financial Ser

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number 06-02811 Thomas O'Shea Respondent Hearing Site: San Francisco, Califomia Merriman Curhan Ford & Co. Nature of the Dispute: Associated Person v. Member REPRESENTATION OF PARTIES Claimant, Thomas O'Shea, hereinafter referred to as "Claimant": David B. Wechsler. Esq., Wechsler & Cohen, LLP, New Yoric, New Yori( Respondent, Mem'man Curtian Ford & Co. ("

Award FINRA DIapute Resolution In the Matter of the Arbitration Between: Name of the Claimant: Case Number: 08-00841 Emily Martin Revocable Living Trust Name of the Restx)ndent: Hearing Site: San Francisco, CA Citigroup Global Mari(ets Inc. Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant Emily Martin Revocable Living Tmst, hereinafter refened to as "Claimant": Brett Alcala, Esq., Alcala Law Firm, San Mateo, Califbmi

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimants Case Number: 07-03342 Damon L Jones Eric A. Eremia Respondents Hearino Site: Phoenix, Arizona Charies Schwab & Co., Inc. David Evan Morgan Nature of the Dispute: Associated Persons v. Member and Associated Person REPRESENTATION OF PARTIES Claimants, Damon L. Jones and Eric A. Eremia, hereinafter collectively referred to as "Claimants": Damon L. Jones, New

Award FINRA Disputo Resolution In the Matter of the Arbitration Between: Name of the Claimant: Case Number 07-01659 Citigroup Global Maricets Inc. Name of the Respondent: Hearino Site: Honolulu, Hawaii Lee Weissman Nature of the Dispute: Member vs. Customer REPRESENTATION OF PARTIES Claimant Citigroup Global Marlcete Inc. hereinafter referred to as "Ciaimanf: Catania T. Facher, Esq., Alonso, Andall^r & Kahn, P.O., New Yoric, New Yori( Respon

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number 08-00011 Lois A. Grant Respondents Hearino Site: San Francisco, Califomia AIG Financial Advisors, Inc. Dave S. Samuels Michael W. Sims Nature of the Dispute: Customer vs. Member, Associated Person and Non-Member REPRESENTATION OF PARTIES Claimant Lois A. Grant: Lois A. Grant, In Pro Se, Sunnyvale, Califbmia Respondents, AIG Financial Advisors, I

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-01310 Martha L. Schallern ("Claimant") vs. Susan W. Morris and Merrill Lynch. Pierce, Fenner & Smith, Incorporated ("Respondents") ATTORNEYS: Claimant appeared Pro se, Avondale Estates, GA. For Respondents appeared Stuart T. Rebish, Esq., Bressler, Amery & Ross, P.C., New York, NY. NATURE OF DISPUTE: Customer v. Member and Associated Person DATE FILED: April 28, 2008 CASE SUMMA

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-00387 Alberto Monti, ("Claimant") vs. Max International Broker/Dealer Corp., ("Respondent") ATTORNEYS: For Claimant appeared Thomas Fleck, Bad Homburg, Germany. For Respondent appeared in-house counsel David isolano. New York, NY. NATURE OF DISPUTE: Customer vs. Member DATE FILED: February 8. 2008 CASE SUMMARY: Claimant alleged that Respondent made unauthorized trades in his accoun

KINRA DISPUTE RtSOLU I ION AWARD FINRA DISPUTE RESOLUTION CASE: 07-03209 Smith Barney, a division of Citigroup Global Markets, Inc. by and through its assignee DSP, LLC, ("Claimant") vs. David Gottlieb, ("Respondent") ATTORNEYS: For Claimant appeared Justin Joseph D'Elia, Esq., of the firm Duane Morris LLP, New York. NY. Respondent did not submit an Answer to the Statement of Claim. NATURE OF DISPUTE: Member vs. Customer DATE FILED: November 9,2

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: CIBC World Markets Corporation (Claimant) vs. Michael Sassano (Respondent) Case Number: 05-02827 Hearing Site: New York. New York Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant CIBC World Markets Corporation hereinafter referred to as "Claimant": Matthew L. Mustokoff, Esq.. Weil, Gotshal & Manges LLP. New York, NY. Previously represented