Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Case Number: 06-05141 Wachovia Securities, LLC Name of the Respondent Hearina Site: Los Angeles, California Lisett DiDonato-Young Counter-Claimant Lisett DiDonato-Young Counter-Respondent Wachovia Securities, LLC Nature of the Dispute: Member vs. Associated Person Associated Person vs. Member REPRESENTATION OF PARTIES Claimant/ Counter- Resp

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-05168 Marvin Nettles Name of the Respondent Hearing Site: Houston, Texas Citigroup Global Markets Inc. Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant Marvin Nettles, hereinafter referred to as "Claimant": Thomas R. Ajamie, Esq. and C. David Mee, Esq., Ajamie LLP, Houston. Texas Respondent Cifigroup Glob

AWARD FINRA Dispute Resolution in the Matter of the Arbitration Between: Name of the Claimant Case Number: 00-02997 Ignatius du Plessis Names of the Respondents Hearinc Site: Los Angeles, California Baxter, Banks & Smith, Ltd. and Frank Mandrell Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES Claimant, Ignatius du Plessis, hereinafter referred to as "Claimant": Pro Se, Gilbert, Arizona Respondent, Ba

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant: Case Number: 07-01377 Paul Bush, Trustee for the Leota Bush Trust Names of the Respondents: Hearing Site: Los Angeles, California Southwest Securities, Inc., Marcel R. Frey, Mark H. Goldie, New York Life Insurance Company Nature of the Dispute: Customer v. Member, Associated Persons, and Non-Member REPRESENTATION OF PARTIES Claimant, Paul Bush, Tmstee

Amended Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 01-07137 John M. Maniott Names of the Respondents Hearinc Site: Tampa, Florida Morgan Stanley DW, Inc. WiHiam Sid Sloan Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For John M. Manriott, hereinafter referred to as "Claimant": Mark A. Ossian, Esq., Park and Ossian. P.A., Cleanvater,

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Young Ran Kim and Soon Up Park (Claimants) vs. Prudential Equity Group, LLC, Citigroup Global Markets, Inc., Wachovia Securities LLC, Roger Henry Erichsen, and Joseph Gerard Vitetta (Respondents) Case Number: 06-01810 Hearing Site: New York. New York Nature of the Dispute: Customers vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Young Ran Kim ("Kim") and

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Beatrice Strulowitz (Claimant) vs. Citigroup Global Markets, Inc., and Frances Goldstein (Respondents) Case Number: 07-02376 Hearing Site: Newark, New Jersey Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Beatrice Stmlowitz hereinafter referred to as "Claimant": Randall J. Perry, Esq., Rutherford, NJ. Respondent Citigrou

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-00022 ANJ Corporation ("Claimant") vs. Euro Pacific Capital, Inc. ("Respondent") ATTORNEYS: For Claimant appeared John Wilson, Lake Zurich, IL. Respondent Euro Pacific Capital, Inc. did not submit an Answer to the Statement of Claim. NATURE OF DISPUTE: Customer v. Member DATE FILED: December 29, 2007 CASE SUMMARY: Claimant alleged that Respondent failed to investigate whether s

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-03208 Smith Barney, a division of Citigroup Global Markets, Inc. by and through its assignee DSP. LLC, ("Claimant") vs. Robert Herskowltz, ("Respondent") ATTORNEYS: ~~ For Claimant appeared Justin Joseph D'Etia, 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

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimants Case Number: 07-02385 Herbert K. Lim Nony L. Luikito-Kim Lukito-Lim Family Trust Herbert K. Lim & Nony L. Lukito-Kim Jt T Respondent Hearing Site: San Francisco, California Scottrade, Inc. Nature of the Dispute: Customers vs. Member REPRESENTATION OF PARTIES Claimant, Herbert K. Lim, Nony L. Luikito-Kim, Lukito-Lim Family Trust, and Herbert K. Lim & No