Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Matthew Ciaramella (Claimant) vs. Putnam Retail Management Limited Partnership (Respondent) Case Number: 07-00898 Hearing Site: Boston, Massachusetts Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Matthew Ciaramella hereinafter referred to as "Claimant" appeared pro se. Previously represented by John E. Sutherland, Brickley, Sears & Sore

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-02834 Robert R. Gehrking and Delores J. Gehrking ("Claimants") vs. William A. Pritchard and US Bancorp Piper Jaffray ("Respondents") ATTORNEYS: Robert R. Gehrking and Delores J. Gehrking ("Claimants") appeared pro se, LaCrosse, Wl For William A. Pritchard and US Bancorp Piper Jaffray ("Respondents") appeared Dan Rosenbaum, Esq., UBS Financial Services, Inc., New York, NY NATURE OF

Award FINRA Dispute Resolution In the Matter ofthe Arbitration Between: Names of the Claimants Case Number: 07-00969 SunTrust Investment Services, Inc. SunTrust Bank Name of the Respondent Hearing Site: Washington, D.C. Andrew E. Hickey Nature of the Dispute: Member and Non-Member vs. Associated Person. REPRESENTATION OF PARTIES For SunTrust Investment Services, Inc. ("STIS") and SunTrust Bank ("STB"), hereinafter collectively referred to as

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-03237 Smith Barney, a division of Citigroup Global Markets, Inc. by and through its assignee DSP, LLC, ("Claimant") vs. Thomas Huss, ("Respondent") ATTORNEYS: For Claimant appeared Justin Joseph D'Elia, Esq., of the firm Duane Morris LLP, New York, NY. Respondent appeared pro se, Toledo, OH. NATURE OF DISPUTE: Member vs. Customer DATE FILED: November 9, 2007 CASE SUMMARY: Claim

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: John Carl (Claimant) vs. Alliance Capital Management, L.P., Alliance Capital Management Holding, L.P., Alliance Capital Management Corporation, AllianceBernstein Investment Research and Management, Inc., AllianceBernstein, L.P., Joel Cohen, Esq., Lewis Sanders, and AllianceBernstein Investments, Inc. (Respondents) Case Number: 06-04962 Hearing Site: New York, New York Nature ofthe

Stipulated Award FINRA Dispute Resolution In the Matter ofthe Arbitration Between: Diane Moss (Claimant) vs. Westrock Advisors, Inc., Gregory Marcei Martino, and Cheryl D. Jimerson (Respondents) Case Number: 07-00736 Hearing Site: New York, New York Nature ofthe Dispute: Customer vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant Diane Moss hereinafter referred to as "Claimant": William J. Gladden, Esq., Attorney at Law, Savannah,

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Caren M. Bass (Claimant) vs. Citigroup, Inc. (Respondent) Case Number: 07-00359 IHearina Site: New Yorl< , New York Nature ofthe Dispute: Associated Person vs. Non-Member. REPRESENTATION OF PARTIES Claimant Caren M. Bass hereinafter referred to as "Claimant" appeared pro se as of April 11, 2008. Previously represented (including at the hearings) by Lawrence J. Glynn, Esq., Law O

stipulated Award FINRA Dispute Resolution In the Mati:er ofthe Arbitration Between: Name of the Claimants Case Number: 07-00688 Cari Spradlin, Individually and as Co-Trustee of the Spradlin Living Trust dtd 4/2/01 and On Behalf of the Cari Spradlin RO IRA and Joy Spradlin, Individually and as Co-Trustee ofthe Spradlin Living Tmst dtd 4/2/01 and On Behalf of the Joy Spradlin RO IRA Name of the Respondents Hearinc Site: Reno, Nevada As

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants Case Number: 07-01705 Lan7 Scallons Bess Scallons Name of the Respondents Hearing Site: Dallas, Texas The GMS Group, LLC Stacie Lynn Clark Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES Claimants. Larry and Bess Scallons, hereinafter collectively referred to as "Claimants": John M. Gillis, Esq., Dalla

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants: Case Number: 07-00471 Tammy Mays and Cindy Mays Name of the Respondents: Hearing Site: Dallas, Texas A.G. Edwards & Sons, Inc. Banc of America Investment Services, Inc. Brent Lemons Nature of the Dispute: Customers vs. Members and Associated Person REPRESENTATION OF PARTIES Claimants, Tammy Mays and Cindy Mays, hereinafter collectively referred to