stipulated Award FINRA Dispute Resolution In the Matter of the Arisitration Between: Claimant Case Number: 07-01383 Wells Fargo Investments, LLC Respondent Hearing Site: San Francisco, Califomla Krittibas Ray Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant, Wells Fargo Investments. LLC ("Wells Fargo"), hereinafter referred to as "Claimant": Gregory B. Simon, Esq., Kane & Fischer, Ltd., Chicago, Illinois

AWARD FINRA DISPUTE RESOLUTION In the Matter of the Arbitration Between: Claimant Case Number: 06-04178 AIG Financial Advisors, inc. Respondents Hearing Site: Reno, Nevada James B. Yim, Milton Champion, and Phyllis Champion Nature of the Dispute: Member v. Associated Person and Customers REPRESENTATION OF PARTIES Claimant AIG Financial Advisors, Inc., hereinafter referred to as "Claimant": Janet Weinstein, Esq.. Fennemore Craig, P.C., Phoeni

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: David C. Klink, H. Peter Weiss, and Daniel M. Maria Cui (Claimants) vs. Sloan Securities Corp. (Respondent) vs. Harry Friedman (Third-Party Respondent) Case Number: 07-91788 Hearlna Site: Newark, New Jersey Nature of the Dispute: Customers vs. Member vs. Associated Person. REPRESENTATION OF PARTIES Claimants David C. Klink ("Klink"), H. Peter Weiss ("Weiss"), and Daniel M. Maria Cu

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Andrew Garrett, Inc. (Claimant) vs. Lester Wackernah (Respondent) Case Number: 07-03138 Hearino Site: New York, New York Nature of the Dispute: Member vs. Customer. REPRESENTATION OF PARTIES Claimant Andrew Garrett. Inc., hereinafter referred to as "Claimant": Barry M. Bordetsky, Esq., Law Offices of Barry M. Bordetsky, Mineola, NY. Respondent Lester Wackernah hereinafter refer

Award FINRA Dispute Resolution In the Matter of the Ari3itration Between: Paul B. Marinucci, Michael P. Marinucci and Joseph P. Marinucci (Claimants) vs. Fidelity Brokerage Services, LLC (Respondent) Case Number: 07-02695 IHearina Site: Boston, Massachusetts Nature of the Dispute: Customers vs. Member. REPRESENTATION OF PARTIES Claimants Paul B. Marinucci ("P. Marinucci"). Michael P. Marinucci ("M. Marinucci"), and Joseph P. Marinucci ("J. Marinucci

AWARD FINRA DISPUTE RESOLUnON In the Matter of the Aibitratron Between: Santander Securities Corporation vs. Juan Javier Maidonado Case Number: 08-00492 SITUS: San Juan, Puerto Rico NATURE OF DISPUTE: Member v. Associated Person. REPRESENTATION OF PARTIES For Santander Securities Corporation, hereinafler known as "Claimanr: Uoyd Schwed, Esq. and Debra A. Jenlcs, Esq., Schwed MoGlnley Kahle, Palm Beach Gardens, Florida. Juan Javier Maidonado. her

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Charies Kromer vs. Case Number: 07-02280 Hearing Site: Cincinnati. Ohio Name of Respondent Fifth Third Securities, Inc. NATURE OF THE DiSPUTE Associated Person vs. Member REPRESENTATION OF PARTIES Charles Kromer ("Claimant") was represented by Megan E. Claris, Esq. and Jon B. Allison, Esq., Freking & Betz, LLC, Cincinnati, Ohio. Fifth Third

stipulated Award FiNRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 07-03131 Smith Barney, a Division of Citigroup Global Markets, Inc., a New York Corporation Name of the Respondent IHearina Site: Boca Raton, Florida Louis M. Gdudio Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Smith Barney, a Division of Citigroup Global Markets, Inc., a New York Corpora

Stipulated Award FINRA Dispute Resolution In the Matter of the Arisitration Between: Claimant Case Number: 07-03610 Charies Schwab & Co., Inc. Respondent Hearing Site: Seattle, Washington Leigh Meicher Patten Nature of the Dispute: Member vs. Customer REPRESENTATION OF PARTIES Claimant, Charies Schwab & Co.. Inc. ("Schwab"), hereinafter refened to as "Claimant": Richard A. Karoly, Esq., Charies Schwab & Co., Inc., San Francisco, Califomla Re

STIPULATED AWARD FINRA Diaputa Reaolution In tlie Matter of tlie Arbitration Between: Name of Claimant PatriclcJ. Quinn vs. Case Number: 08-00350 Hearing Site: Chicago, Illinois Names of Respondents MF Global Inc. and Steplien Grady NATURE OF THE DISPUTE Associated Person vs. Member and Associated Person Patrick J. Quinn ("Claimant") appeared pre se. MF Global Inc. ("MFG") and Stepiien Grady ("Grad/). iiereinafler collectively refened to