Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Valerie Simmons (Claimant) vs. Hawthorne Securities Corporation (Respondent) Case Number: 06-03863 Hearing Site: Boston, Massachusetts Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Valerie Simmons hereinafter referred to as "Claimant": Michael J. Listen, Esq., Boston, MA. Claimant was previously pro se. Respondent Hawthorne Securities Corporatio

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number. 07-01389 Ken Frain Names of the Respondents Hearina Site: Orlando, FL H.D. Vest Investment Services, Inc. David Cowoski Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Ken Frain, hereinafter referred to as "Claimant": Scott L. Silver, Esq., Blum & Silver, LLP, Coral Springs, FL. For Re

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Mary Ann Shenvood, Individually and as the Successor in Interest to Rosemary Luckenbaugh Name of the Respondent Morgan Stanley DW Inc. Case Number: 06-01722 Hearing Site: San Francisco, California Nature of the Dispute: Customer v. Member REPRESENTATION OF PARTIES Claimant, Mary Ann ShenA^ood. Individually and as the Successor in Interest to

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants Case Number: 07-01095 Evelyn Brandin, IRA and Evelyn Brandin, Trustee of the Brandin Family Trust Names of the Respondents Hearing Site: Las Vegas, Nevada James R. Thomas, James Burchard, SJB Investments. LLC, and JKR & Comoanv Nature of the Dispute: Customers v. Member, Non-Member and Associated Persons REPRESENTATION OF PARTIES Claimants Evelyn B

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 06-01384 Susan A. Wicklzer Respondents Hearing Site: Denver, Colorado Morgan Stanley DW Inc. Jeffrey S. Toman Piper Jaffray& Co. Nature of the Dispute: Customer vs. Members and Associated Person REPRESENTATION OF PARTIES Claimant, Susan A. Wicklzer ("Wicklzer") hereinafter referred to as "Claimant". Paul A. Young of Securities Arbitration Group

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-02570 Lewis A. Nigg ("Claimant") vs. Banc of America Investment Services, Inc. ("Respondent") ATTORNEYS: For Lewis A. Nigg ("Claimant") appeared Bruce N. Munson, Esq., Muncie, IN. For Banc of America Investment Services, Inc. ("Respondent") appeared Kiran V. Somashekara, Esq., West Orange, NJ. NATURE OF DISPUTE: Customer v. Member DATE FILED: August 31, 2007 CASE SUMMARY: Claimant

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-02677 Wells Fargo Investments, LLC, ("Claimant") vs. Daniel Voss, ("Respondent") ATTORNEYS: ~~~ " "" _ ^ For Claimant appeared Diane C. Fischer, Esq., of the firni Kane & Fischer, Ltd., Chicago, IL. For Respondent appeared Marl L. Kowalsky, Esq., of the finn Jaffe Raitt Heuer & Weiss, Southfleld, Ml. NATURE OF DISPUTE; Member v. Associated Person DATE FILED: September 18,20

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-03241 Citigroup Global Markets, Inc. ("Claimant/Counterclaim Respondent") v. Peter Hirshfield ("Respondent/Counterclaim Claimant") ATTORNEYS: For Citigroup Global Markets, Inc., appeared Justin Joseph D'Elia, Esq., Duane Morris, LLP, New York, NY. Peter Hirshfield appeared pro se, New York, NY. NATURE OF DISPUTE: Member v. Customer DATE FILED: November 9, 2007 CASE SUMMARY: Cla

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-03111 Citigroup Global Markets, Inc. and Citigroup Global Markets Holdings, Inc. ("Claimants") vs. Damien W. Lombardi ("Respondent") ATTORNEYS: For Claimants, Citigroup Global Markets, Inc. and Citigroup Global Markets Holdings, Inc., appeared W. Jerad Rissler, Esq., Kutak Rock, LLP, Atlanta, GA. Respondent, Damien W. Lombardi appeared pro se, Virginia Beach, VA. NATURE OF DISPUTE: Mem

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-03198 Citigroup Global Markets, Inc. ("Claimant") v. William Chen ("Respondent") ATTORNEYS: For Citigroup Global Markets, Inc. appeared Justin Joseph D'Elia, Esq., Duane Morris, LLP, New York, NY. Respondent William Chen 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