Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Lynn M. Kaufmann (Claimant) vs. A.G. Edwards & Sons, Inc., and Hayes Howell Burleson, Jr., a/k/a Hal Burleson, Jr. (Respondents) Case Number: 07-00380 Hearina Site: Hartford, Connecticut Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Lynn M. Kaufmann hereinafter referred to as "Claimant": John J. Washburn, Esq., Nashua, NH.

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: James Parascandola (Claimant) v. Barclays Capital, Inc. (Respondent) Case Number: 06-02602 Hearing Site: New York, NY Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant James Parascandola hereinafter referred to as "Claimant": Jeffrey Liddle, Esq., and Marc A. Susswein, Esq., Liddle & Robinson L.L.P., New York, NY. Respondent Barc

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-03175 Smith Barney, a division of Citigroup Global Markets, Inc. by and through its assignee DSP, LLC. ("Claimant") vs. Michael Myers. ("Respondent") ATTORNEYS: " " ~ " ' ' ' " For Claimant appeared Justin Joseph D'Elia, Esq., of the firm Duane Morris LLP, New York, NY. Respondent appeared pro se, Allen, TX. NATURE OF DISPUTE: Member vs. Customer DATE FILED: November 9, 2007 CA

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CAS^: 07-02186 Robert F. Kelliher, ("Claimant") vs. Citigroup Global Markets, Inc., ("Respondent") ATTORNEYS: Claimant appeared pro se, Mashpee, MA. For Respondent appeared in-house counsel, Andrew H. Smith, Esq., New York, NY. NATURE OF DISPUTE: Associated Person v. Member DATE FILED: October 23, 2007 CASE SUMMARY: Claimant alleged that Respondent's employment records should reflect contin

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-03110 Toni G. Ciarlariello, ("Claimant") vs. Merrill Lynch, Pierce. Fenner & Smith, inc.. ("Respondent") ATTORNEYS: Claimant appeared pro se. Flemington, NJ. For Respondent appeared in-house counsel Lauryn J. Hart, Esq., New York, NY. NATURE OF DISPUTE: Customer vs. Member DATE FILED: Novembers, 2007 CASE SUMMARY; Claimant alleged that Respondent recommended Investments which w

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimants Brothers Oil & Gas, Inc. and Barry W. Blank Respondents Sterne, Agee & Leach, Inc., Tradition Asiel Securities, Inc. and James G. Rizzo Case Number: 07-02456 Hearina Site: Phoenix, Arizona Nature of the Dispute: Customer and Associated Person vs. Members and Associated Person REPRESENTATION OF PARTIES Claimants, Brothers Oil & Gas ("Brothers Oil")

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 07-01131 Betty Jean Taylor Name of the Respondents Hearing Site: Dallas, Texas National Planning Corporation, Brookstreet Securities Corporation, and James Hampton Simmons, Jr. Nature of the Dispute: Customer vs. Members and Associated Person REPRESENTATION OF PARTIES Claimant Betty Jean Taylor, hereinafter referred to as "Claimant": Sh

Award FINFtA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number. 07-01653 Steven E. Quint Names of the Respondents Hearing Site: Boca Raton, Florida Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney Joseph C. Denicola Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Steven E. Quint, hereinafter referred to as "Claimant": Randall C. Place, Esq.,

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 07-02934 Andrew Aragona Name of the Respondent Hearinc Site: Ft. Lauderdale, Florida Wachovia Securities Financial Network Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES For Andrew Aragona, hereinafter referred to as "Claimant": Arthur C. Koski, Esq., The Law Offices of Arthur C. Koski, P.A., Boca Raton, Flor

Award FINRA Dispute Resolution In the Matter ofthe Arisitration Between: Name of the Claimant Case Number: 07-01446 Susan Greco, on behalf of the IRA f/b/o Susan Greco Name of the Respondent Hearino Site: Tampa, Florida Kovack Securities, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Susan Greco, on behalf of the IRA, f/b/o Susan Greco, hereinafter referred to as "Claimant": C. Richard Mancini, Esq.. Henderso