FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-03186 Smith Barney, a division of Citigroup Global Marl< ets, Inc. by and through its assignee DSP, LLC, ("Claimant") vs. Barry Do, ("Respondent") ATTORNEYS: For Claimant appeared Justin Joseph D'Elia, Esq., of the finn Duane Morris LLP, New Yorl< , NY. Respondent appeared pro se, San Jose, CA. NATURE OF DISPUTE: Member vs. Customer DATE FILED: November 9, 2007 CASE SUMMARY: Clai

FINRA DISPUTE RESOLUTION AWARD FiNRA DISPUTE RESOLUTION CASE: 07-02929 David H. Ni, ("Claimant") vs. National Financial Services LLC, ("Respondent") ATTORNEYS: Claimant appeared pro se, Rockville, MD. For Respondent appeared Gary T. Grassey, Esq., of the firm FI\/IR LLC, Boston, MA. NATURE OF DISPUTE: Customer vs. IVIember DATE FILED: October 11, 2007 CASE SUI\/IMARY: Claimant alleged tiiat Respondent failed to execute an order to sell siiares o

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 07-00293 JoAnn D. Wessel On Behalf of the JoAnn D. Wessel IRA; and JoAnn D. Wessel On Behalf of the Dale V. Wessel IRA Name of the Respondents Hearing Site: Reno, Nevada Associated Securities Corp. Patricia Meidell Laif Meidell Nature of the Dispute: Customer v. Member and Associated Persons REPRESENTATION OF PARTIES

Award FINRA Dispute Resolution In the Matter of the Ariaitration Between: Name of the Claimant Christopher Houchin Name of the Respondents Ehrenitrantz King Nussbaum, Inc. Vincent Bentivegna Name of the Counter-Claimant Ehrenlcrantz King Nussbaum, Inc. Name of the Counter-Respondent Christopher Houchin Case Number: 04-04060 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member and Associated Person M

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 07-00803 A.G. Edwards & Sons, Inc. Name of the Respondent Hearing Site: Los Angeles, California Thomas Joseph McGowan Nature of the Dispute: Member v. Customer REPRESENTATION OF PARTIES Claimant, A.G. Edwards & Sons, Inc., hereinafter referred to as "Claimant": Dennis J. Capriglione, Esq., A.G. Edwards & Sons, Inc., SL Louis, Missouri and D

AWARD FINI^ Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Marl< A. Frommer vs. Case Number: 06-01341 Hearing Site: Chicago, lliinois Name of Respondent Lehman Brothers, Inc. NATURE OF THE DISPUTE Associated Person vs. Member REPRESENTATION OF PARTIES Mark A. Frommer ("Claimant" or "Frommer") was represented by William J. Serritella, Jr., Esq., Aronberg, Goldegehn, Davis & Garmisa, Chicago, Illinois.

Stipulated Award FINRA Dispute Resolution In the Matter of the AriDitration Between: Name of ttie Claimant Case Number: 07-01726 Morgan Stanley & Co., Incorporated (formeriy Morgan Stanley DW Inc.) Name of the Respondent Hearing Site: Oriando, FL Charies M. Monahan, Jr. NatureonheDisputeTMe^ Person. REPRESENTATION OF PARTIES For Morgan Stanley & Co., Incorporated (formeriy Morgan Stanley DW Inc.) ("Morgan Stanley"), hereinafter refered to as

AWARD FINIRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Michael Andre Teall vs. Case Number: 07-02340 Hearing Site: Chicago, Illinois Name of Respondent Fifth Third Securities, Inc. NATURE OF THE DISPUTE Associated Person vs. Member REPRESENTATION OF PARTIES Michael Andre Teall ("Claimant") was represented by Robert W. Mysliwiec, Esq., Robert W. Mysliwiec, PC, South Bend, Indiana. Fifth Third Se

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 07-02790 Francis G. LaGuaite, Executor Name of the Respondent Hearing Site: Atlanta, Georgia TD Ameritrade, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Francis G. LaGuaite, Executor, appeared pro se. For Respondent TD Ameritrade, Inc.: James J. Vihstadt, Senior Counsel, TD Ameritrade Inc., Omaha,

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: William J. Carpenter (Claimant) vs. Ameriprise Financial Services, Inc. (Respondent) Case Number: 07-00115 Hearing Site: New York. New York Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant William J. Carpenter hereinafter referred to as "Claimant": Matthew W. Woodruff, Esq., Eppenstein and Eppenstein, New York, NY. Previously represented by Theodor