Award FINRA Dispute Resolution In tiie IVIatter of the Arbitration Between: Kenneth Mosl^owitz and Leonard Moskowitz (Claimants) v. Lehman Brothers, Inc., Todd M. Rubsamen, James Anthony Odorczulc, and Saleh Suliman Faraj (Respondents) Case Number: 04-01174 Hearing Site: New Yori< . New York Nature of the Dispute: Customers vs. IVIember and Associated Persons. REPRESENTATION OF PARTIES Claimants Kenneth Moskowitz ("K. Moskowitz") and Leonard Moskowit

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 07-01361 Sheila Segrest, individually; and Sheila Segrest, as next friend of Anna Brook Segrest, a minor Names of the Respondents l-learing Site: Birmingham, Alabama Raymond James Financial Services, Inc. Raymond James & Associates, Inc. AIG SunAmerica Life Assurance Company Chappell & l-lolman Financial Advisors, Inc. Ann Holman

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 07-00925 Jodi Whitehead Names of the Respondents Hearina Site: Boca Raton, Florida CIBC Worid Markets Corp. Jeff Bank Susan Sutheriand Arthur Lewis Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Jodi Whitehead, hereinafter referred to as "Claimant": Darren C. Blum, Esq., Blum & Si

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant/Counter-Respondent Advanced Equities, Inc. vs. Case Number: 06-01261 Hearing Site: Chicago, Illinois Name of Respondent/Counter-Claimant Denise Kappel NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES Advanced Equities. Inc. ("Claimant" or"AEI") was represented by Ronald M. Amato, Esq., Shaheen, Novoselsky, Staat, Fili

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Schultz Investment Advisors, Incorporated vs. Case Number: 06-03445 Hearing Site: Southfield, Michigan Names of Respondents Roger D. Steensma, Douglas A. Plamondon, Randy Novotny, SPN Financial Services, LLC, and Hoffman, Steensma, and Plamondon, PLC and Names of Counter-Claimants Roger D. Steensma, Douglas A. Plamondon. Randy Novotny, SPN F

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Edward A. Sandor and Rita D. Sandor (Claimants) vs. Merrill Lynch, Pierce, Fenner & Smith, Inc. (Respondent) Case Number: 07-01928 Hearina Site: Hartford, Connecticut Nature of the Dispute: Customers vs. Member. REPRESENTATION OF PARTIES Claimants Edward A. Sandor and Rita D. Sandor, hereinafter collectively referred to as "Claimants": Christopher J. Gray, Esq., Christopher J.

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-03178 Smith Barney, a division of Citigroup Global Mari^ets, inc. by and through its assignee DSP, LLC, ("Claimant") vs. David Pool, ("Respondenf) ATTORNEYS: For Claimant appeared Justin Joseph D'Elia, Esq., of the firm Duane Morris LLP, New York, NY. Respondent did not submit an Answer to the Stetement of Claim. NATURE OF DISPUTE: Member vs. Customer DATE FILED: November 9,2007

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-03181 Smith Barney, a division of Citigroup Global Markets, Inc. by and through its assignee DSP, LLC ("Claimant") v. Alan Levande ("Respondent") ATTORNEYS: For Smith Barney, a division of Citigroup Global Markets, Inc. by and through its assignee DSP, LLC appeared Justin Joseph D'Elia, Esq., Duane Morris, LLP, New York, NY Respondent Alan Levande appeared pro se. New York, NY NATU

Award FINiRA Dispute Resolution In the Matter of the Arbitration Between: Wells Farao Investments. LLC. Claimant Case Number: 05-06100 Theodore A. Larsen. Respondent Hearina Site: Phoenix. Arizona Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant, Wells Fargo Investments, LLC, hereinafter referred to as "Claimant": Greg Simon, Esq., Kane & Fischer, Chicago, Illinois. Respondent, Theodore A. Larsen, hereinafter re

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Rendal Joe and Sandra Dotson vs. Name of Respondent Ameriprise Financial Services Case Number: 06-04530 Hearing Site: Charieston, West Virginia NATURE OF THE DISPUTE Customers vs. Member REPRESENTATION OF PARTIES Rendal Joe and Sandra Dotson ("Claimants") were represented by Andrew Stoltmann, Esq., Stoltmann Law Offices, PC, Chicago, Illin