Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants Case Number: 06-05080 Violet M. Wall Violet IVI. Wall Trust Name of the Respondents Hearing Site: Los Angeles, California Citigroup Global IVIarkets Inc. Robert John Leverte, III Nature of the Dispute: Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Claimants, Violet M. Wall and Violet M. Wall Tmst, hereinafter collectively ref

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants Case Number 07-02489 Ronald L. Lawrence Janice L. Lawrence Recruiter's Resource, Inc. Name of the Respondent Hearing Site: Los Angeles, Califomia Charies Schwab & Co., Inc. Nature of the Dispute: Customers vs. Member REPRESENTATION OF PARTIES Claimants, Ronald L. Lawrence, Janice L. Lawrence and Recruiter's Resource, Inc., hereinafter collectiv

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Delmer Urbanczyk vs. Case Number: 06-05382 Hearing Site: St. Louis, Missouri Names of Respondents Edward D. Jones & Co. L.P. d/b/a Edward Jones, Roger David, A.G. Edwards & Sons, Inc., Marvin Urbanczyk, and Janet Urbanczyk and Name of Counter-Claimant Marvin Urbanczyk vs. Name of Counter-Respondent Delmer Urbanczyk and Name o

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Alberta Sue Murstein, Individually and as Trustee of the Alberta Sue Murstein Revocable Living Tmst dated October 29,1981 vs. Case Number: 07-01428 Hearing Site: St. Louis, Missouri Names of Respondents Citigroup Global Markets, Inc., and Goldman, Kottler, Unell, Pearlstein & Rechtien, L.L.C. NATURE OF THE DISPUTE Customers vs. Member and Non-

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number. 06-02304 Norman C. Hellerud Name of the Respondents Hearino Site: San DIego, Caliofrnla Neil A. Eisner Bruce D. Oakes Nature of the Dispute: Customer vs. Associated Persons REPRESENTATION OF PARTIES Claimant, Norman C. Hellemd, hereinafter referred to as "Claimant": Patrick N. Keegan, Esq., Keegan, Macaluso & Baker, LLP, San Diego, Cali

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimants Case Number: 07-01765 Charles Ross Westley, individually and as Trustee of the Charles Ross Westley Life Insurance Revocable Living Trust and as Trustee of the Westley Living Trust, and Mary S. Westley, individually and as Trustee of the Westley Living Trust Respondents Hearing Site: Denver, Colorado Associated Securities Corp. William A. Gay Private C

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Robinson Bosworth, III vs. Name of Respondent Robert W. Baird & Co. Incorporated Case Number: 07-02603 Hearing Site: Milwaukee, Wisconsin NATURE OF THE DISPUTE Associated Person vs. Member REPRESENTATION OF PARTIES Robinson Bosworth, III ("Claimant") was represented by Thomas L. Skalmoski, Esq., Weiss Berzowski Brady LLP, Milwaukee, Wisconsi

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Rohit Relan (Claimant) vs. RBC Capital Markets Corporation (Respondent) Case Number: 07-02530 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Rohit Relan hereinafter referred to as "Claimant" appeared pro se. Respondent RBC Capital Markets Corporation hereinafter referred to as "Respondent": Ralph DeSena,

STIPULATED AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Larry L. Thompson vs. Case Number: 02-05828 Hearing Site: Detroit, Michigan Names of Respondents Carillon Investments, Inc. and Kevin M. Grunawalt NATURE OF THE DISPUTE Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Lan7 L. Thompson ("Claimant") was represented by Kalju Nekvasil, Esq., Goodman & Nekvasil, P.A.

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Wachovia Securities, LLC (Claimant) vs. Haran Brucker (Respondent) Case Number: 06-03260 Hearing Site: New York, New York Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Wachovia Securities, LLC hereinafter referred to as "Claimant": Victor A. Machcinski, Jr., Esq., Kresbach & Snyder, P.C, New York, NY. Previously represented by Douglas D