FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 06-04996 Citigroup Global Markets, Inc., ("Claimant") vs. Leonard Coleman, ("Respondent") ATTORNEYS: For Claimant appeared Erin E. Mac Avoy, Esq., of the firm Alonso, Andalkar & Kahn, P.C, New York, NY. Respondent did not submit an Answer to the Statement of Claim. NATURE OF DISPUTE: Member vs. Customer DATE FILED: November 14, 2006 CASE SUMMARY: Claimant alleged that Respondent breac

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-02995 Citigroup Global Markets, Inc. d/b/a Smith Barney, ("Claimant") vs. Todd Smith, ("Respondent") ATTORNEYS: For Claimant appeared Catania Facher, Esq., of the firm Alonso, Andall< ar & Kahn, P.C, New York, NY. Respondent did not submit an Answer to the Statement of Claim. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: October 22, 2007 CASE SUMMARY: Claimant alleg

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Charles Schwab & Co., Inc. (Claimant) vs. Jeffrey Sein Lin (Respondent) Case Number: 07-03004 Hearing Site: New York, New York Nature of the Dispute: Member vs. Customer. REPRESENTATION OF PARTIES Claimant Charles Schwab & Co., Inc., hereinafter referred to as "Claimant": Brandon K. Hemley, Esq., Charles Schwab & Co., Inc., San Francisco, CA. Respondent Jeffrey Sein Lin hereina

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Wayne D. McCullough and H. Kaye McCullough Names of the Respondents Jefferson Pilot Securities Corporation, Jane B. Smith, CFP & Associates, Inc., and Jane Bischoff Smith Names of the Third-Partv Claimants Jane B. Smith, CFP & Associates, Inc., and Jane Bischoff Smith Name of the Third-Partv Respondent James W. Barnett Case Number

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants: Kurt B. Rogers Sharon Rogers Name of the Respondents: Summit Brokerage Services, Inc. Shilanski & Associates, Inc. Floyd L. Shilanski Rosa C. Shilanski Case Number: 07-01262 Hearing Site: Anchorage, Alaska Nature of the Dispute: Customers vs. Member, Non-Member, and Associated Persons REPRESENTATION OF PARTIES Claimants Kurt B. Rog

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-03860 Larry J. Muehlstein, individually and also on behalf of his IRA Names of the Respondents Hearina Site: Oriando, FL Raymond James Financial Services, Inc. George P. Jackson Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Larry J. Muehlstein, individually and also on behalf of his I

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Ischemia Research and Education Foundation, Claimant vs. Goldman, Sachs and Company, Respondent Case Number: 03-07132 Hearing Site: Seattle. Washington Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES For Claimant: Alan C. Friedberg, Esq., Pendleton Friedberg Wilson & Hennessey Denver, Colorado. For Respondent: Michael J. Lawson, Esq., Morgan Lewis & Boc

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number. 06-05156 Carlos Robledo Name of the Respondent {Hearing Site: Boca Raton, Florida Morgan Stanley DW Inc. d/b/a Morgan Stanley Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Carlos Robledo, hereinafter referred to as "Claimant": Jeffrey Erez, Esq., Sonn & Erez, PLC, Fort Lauderdale, Florida. For Morgan Stan

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Janeen A. Sudaka-Karlsson (Claimant) vs. Linus G. Cooke, John D. Olson, Eric W. Peske, Lisa M. Feld, Richard L. Ecklund a/k/a Richard Alan Petit, Maria R. Frattaroli, Marcelo Ippoliti, Arthur Auch, Kelly A. Walsh, James E. Ducey, Karen Siannas, Thomas Duddie, Katherine M. Ferraro, Sidney Goldman, Philip J. Gullo, Jelmena Orinthia Hudson, Catherine M. Maguire, James Lombardi, Christine

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Estate of Armin Schaper, Elizabeth Schaper, Exeutor, and Ethel Schaper, Elizabeth Schaper, POA (Claimants) vs. Patricia McGinley, James E. Ducey, and James Lombard! (Respondents) Case Number: 06-04197 Hearina Site: New York, New York Consolidated With Elizabeth Schaper (Claimant) vs. Patricia McGinley, James E. Ducey, Renuka S. Nayar, and Smith Barney a/k/a Citigroup Global Mar