AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Ciaimant Citigroup Giobal Markets, inc. vs. Case Number: 07-02565 Hearing Site: Chicago, Illinois Name of Respondent Thomas B. Kret MATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES Citigroup Globai Markets, Inc. ("Claimant" or "Citigroup") was represented by Ronald Kane, Esq., Kane & Fischer, Ltd., Chicago, Illinois. Thoma

STIPULATED AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Don IHutcherson vs. Case Number: 05-06675 Hearing Site: Dallas, Texas Names of Respondents Sands Brothers & Co., Ltd., Laidlaw & Company (UK) Ltd., Craig Aaron Bonn, Martin Scott Sands, and Steven Brett Sands NATURE OF THE DISPUTE Customer vs. Terminated Member, Member, and Associated Persons REPRESENTATION OF PARTIES Don Hutc

STIPULATED AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Charles Schwab & Co. Inc. vs. Case Number: 08-01162 Hearing Site: Cincinnati, Ohio Name of Respondent Thomas S. JHodges NATURE OF THE DISPUTE Member vs. Customer REPRESENTATION OF PARTIES Charles Schwab & Co, Inc. ("Claimant") was represented by Richard A. Karoly, Esq.. Charles Schwab &• Co., Inc., San Francisco, Califomia. Thomas

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Mary Lou Sammelman vs. Case Number: 07-02976 Hearing Site: St. Louis, Missouri Name of Respondent Stifel, Nicholas & Co., Inc. NATURE OF THE DISPUTE Customer vs. Member REPRESENTATION OF PARTIES Mary Lou Sammelman ("Claimant") was represented by Steven Koslovsky, Esq., Steven Koslovsky. LLC. Maryland Heights, Maryland. Stifel. Nicholas & Co.

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Scott Champion (Claimant) vs. Securities America, Inc. (Respondent) Case Number: 07-03268 Hearing Site: Philadelphia. Pennsylvania Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Scott Champion hereinafter referred to as "Claimant": Steven T. Stern, Esq., Philadelphia, PA. Respondent Securities, Inc., hereinafter referred to as "Responden

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Ciaimant Case Number: 08-02495 Smith Bamey Respondents Hearing Site: San Francisco, Califomia Jennifer Davis and Merrill Lynch, Pierce, Fenner & Smith Incorporated Nature of the Dispute: Member vs. Associated Peraon and Member REPRESENTATION OF PARTIES Claimant. Smith Bamey, hereinafter referred to as "Claimant": Jim Wright, Esq. and Erin Welsh, Esq., Buchalter Neme

Award FINRA Dispute Resolution In the Matter of the Arbitratton Between: Claimant Case Numt)er 07-02628 Evan S. Bedell Respondents Hearing Site: Las Vegas, Nevada Silver Pacific Advisors, LLC and Viney K. Singal Counter-Claimants Silver Pacific Advisors. LLC and Viney K. Singal Counter-Respondent Evan S. Bedell Nature of the Dispute: Associated Person vs. Member and Associated Person Member and Associated Person v. Associated Per

AWARD FINRA Dispute Resolution in the Matter of the Ari3itration Between: Claimant: Case Number: 05-05165 Edward G. Marteli Respondents: IHearinq Site: Los Angeles, Califomla Financial Advisors Network. Inc. Calvin C. Garvin Rod IH. Kamps Counter-Claimants: Financial Advisors Network, inc. Calvin C. Garvin Rod IH. Kamps Counter-Respondent: Edward G. I\1artell Nature of the Dispute: Associated Person v. Non-Member and Associat

Award FINRA Dispute Resolution in the Matter of the Arbitration Between: Claimant Case Number: 08-00328 Banc of America Investment Services, Inc. Respondent Hearing Site: Houston, Texas William T. Rexrode Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Ciaimant, Banc of America Investment Sen^ices, Inc. hereinafter referred to as "Claimant": Thomas Voitz, Esq.. Kane & Fischer, Chicago, Illinois. Respondent, Will

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant: Case Number: 08-00213 Kamiar Saeedian Name of the Respondent: Hearina Site: Denver, Colorado TO Ameritrade. Inc. Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant Kamiar Saeedian, hereinafter refenred to as "Claimant": Pro Se. Denver, Colorado Respondent, ID Ameritrade, inc., hereinafter referred to as "Respondent": James J. Vih