FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-03127 Ruth M. Smith and William L. Smith, ("Claimants") vs. AIG Financial Advisors, Inc. and Fernando Frausto, ("Respondents") ATTORNEYS: Claimants appeared pro se, Scottsdale, AZ. For Respondents appeared Barry R. Temkin, Esq., of the firm The Law Offices of Edward Garfinkel. New York, NY. NATURE OF DISPUTE: Customers v. Member and Associated Person DATE FILED: November 1. 2007

AWARD FINIRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant / Counter-Respondent Morgan Stanley & Co., Inc. vs. Name of Respondent / Counter-Claimant Gilberta A. Dorsey Case Number. 07-01107 Hearing Site: St. Louis, Missouri NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES Morgan Stanley & Co., Inc. ("Claimant" or "Morgan Stanley") was represented by Diane C. Fischer, Esq

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 05-05553 William C. and Jeneanne C. Hyatt June H. and Lomax C. DeMoss Blanche E. and Bobby L. Green D. Keith Kassel and Jill M. Kassel Name of the Respondent Hearing Site: Atianta, Georgia Citigroup Global Martlets, Inc. d/b/a Salomon Smith Barney, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Stephen Brooks (Claimant) vs. Merrill Lynch Investment Managers LP and FAM Distributors, Inc. (Respondents) Case Number: 07-01140 Hearing Site: New York. New York Nature of the Dispute: Associated Person vs. Non-Member and Member. REPRESENTATION OF PARTIES Claimant Stephen Brooks hereinafter referred to as "Claimant": Ethan A. Brecher, Esq., Liddle & Robinson, L.L.P., New York,

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-03179 Citigroup Global Markets, Inc. ("Claimant") v. Jim Madaffer ("Respondent") ATTORNEYS: For Citigroup Global Markets, Inc. appeared Justin Joseph D'Elia, Esq., Duane Morris, LLP, New York, NY. Respondent Jim Madaffer did not submit an Answer to the Statement of Claim. NATURE OF DISPUTE: Member v. Customer DATE FILED: November 9, 2007 CASE SUMMARY: Claimant alleged a loss incurr

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-03238 Citigroup Global Markets, Inc. ("Claimant") v. Eric Johns ("Respondent") ATTORNEYS: For Citigroup Global Markets, Inc. appeared Justin Joseph D'Elia, Esq., Duane Morris, LLP, New York, NY. Respondent appeared pro se, Ann Arbor, Ml. NATURE OF DISPUTE: Member v. Customer DATE FILED: November 9, 2007 CASE SUMMARY: Claimant alleged a loss incurred due to Respondent's failure to p

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-02955 Valentine Valuca ("Claimant") vs. Chase Investment Services Corp. ("Respondent") ATTORNEYS: Claimant appeared pro se, Brooklyn, NY. For Respondent appeared Reid R. Broda, Esq., JP Morgan Chase & Co., Chicago, IL. NATURE OF DISPUTE: Associated Person v. Member DATE FILED: October 11, 2007 CASE SUMMARY: Claimant alleged wrongful termination and unpaid commission. Claim Data Awa

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-02238 Rachel Becker ("Claimant") vs. GKN Securities Corp., EarlyBirdCapital, Inc., David Cooper, Carl Weisman, and Firebrand Financial Group, Inc. ("Respondents") ATTORNEYS: For Claimant appeared Karen J. Van Ingen, Esq., BLS Legal Services Corp., Brooklyn, NY. For GKN Securities Corp., EarlyBirdCapital, Inc., Carl Weisman, and Firebrand Financial Group, Inc., appeared Meredith Cavalla

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Howard Yee (Claimant) vs. Citigroup Global Markets, Inc. (Respondent) Case Number: 07-02910 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Howard Yee hereinafter referred to as "Claimant": Alan E. Wolin, Esq., Wolin & Wolin, Jericho, NY. Respondent Citigroup Global Markets, Inc., hereinafter referred to a

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-03174 Citigroup Global Marl^ets, Inc. ("Claimant") v. Antonio Tremino ("Respondent") ATTORNEYS: For Citigroup Global Markets, Inc. appeared Justin Joseph D'Elia, Esq., Duane Morris, LLP, New York. NY. Respondent Antonio Tremino did not submit an Answer to the Statement of Claim. NATURE OF DISPUTE: Member v. Customer DATE FILED: November 9, 2007 CASE SUMMARY: Claimant alleged a loss