Stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: John La Spina (Claimant) vs. Metropolitan Life Insurance Company and Hennion & Walsh, Inc. (Respondents) Case Number: 04-00825 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Members. REPRESENTATION OF PARTIES Claimant John La Spina hereinafter referred to as "Claimant": Brian Reis, Esq., Law Office of Brian Reis, New York, NY. Respo

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-03195 Smith Barney, a division of Citigroup Global Markets, Inc. by and through its assignee DSP, LLC, ("Claimant") vs. Vikas Patel, ("Respondent") ATTORNEYS: For Claimant appeared Justin Joseph D'Eiia, 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: Novembers, 2007

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-01815 Larry E. Finkemeier ("Claimant") vs. New England Securities, Inc. ("Respondent") ATTORNEYS: For Larry E. Finkemeier ("Claimant") appeared Jeffrey S. Kruske, Esq., Overland Park, KS. For New England Securities, Inc. ("Respondent") appeared Peter J. Flanagan, Esq., Metropolitan Life Insurance Company, Long Island City, NY. NATURE OF DISPUTE: Customer v. Member DATE FILED: June

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Mark Hootnick (Claimant) vs. Greenhill & Co., LLC (Respondent) Case Number: 07-01434 Hearino Site: New York. New York Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Mark Hootnick hereinafter referred to as "Claimant": Edward J.M. Little, Esq., and Vicki F. Andreadis, Esq., Hughes Hubbard & Reed LLP, New York, NY. Respondent Greenhill & C

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Estate of Thomas H. Piccarreto by Bettina M. Piccarreto, Administrator (Claimant) vs. Great Eastern Securities, Inc., and David Cutolo (Respondents) Case Number: 07-00476 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Estate of Thomas H. Piccarreto by Bettina M. Piccarreto, Administrator here

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimants Case Number: 07-00107 Edward Satlin and Micah G. Scheinberg Respondent Goldman Sachs and Company Hearing Site: Los Angeles, California Nature of the Dispute: Associated Persons vs. Member REPRESENTATION OF PARTIES Claimants, Edward Satlin ("Satlin") and and Micah G. Scheinberg ("Scheinberg"), hereinafter collectively referred to as "Claimants": Rodney J. Heggy, Es

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 96-03667 Robert Campbell Names of the Respondents Hearino Site: Los Angeles, California First Metropolitan Securities Inc. and Andrew C. Skidmore Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES Claimant, Robert Campbell, hereinafter referred to as "Claimant": Pro Se, Burbank, California Responde

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 07-01054 Andrea Diane Mears Name of the Respondent Hearina Site: Oriando, Florida Bud Nicol Nature of the Dispute: Associated Person vs. Associated Person. REPRESENTATION OF PARTIES Andrea Diane Mears, hereinafter referred to as "Claimant", appeared pro se. For Bud Nicol, hereinafter referred to as "Respondent": Katherine C. Donlon, Esq.,

FINRA DISPUTE RESOLUTION AWARD FiNRA DISPUTE RESOLUTION CASE: 07-03049 Estate of Gordon H. Amabruster, by Dolores A. Sonadres, Personal Representative ("ClairTiant") vs. Wells Fargo Investments, LLC, ("Respondenf) ATTORNEYS: For Claimant appeared Robert Kamman, Esq., of the fimi Kamman l-aw Office, P.C, Phoenix, AZ. For Respondent appeared in-house counsel, Vanessa M. Hoffmann, Esq.. San Francisco. CA. NATURE OF DISPUTE: Customer vs. Member

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Edward O'Brien and Gerald Silberman (Claimants) v. Citigroup, Inc., Citigroup Global Markets, Inc., and Citicorp Investment Services (Respondents) Case Number: 07-00889 Hearina Site: New York, New York Nature of the Dispute: Associated Persons vs. Non-Member and Members. REPRESENTATION OF PARTIES Claimants Edward O'Brien ("O'Brien") and Gerald Silberman ("Silbemian"), hereinafter