stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Laurence Lowenschuss, individually, and Fred Lowenschuss, individually and as Trustee, f/b/o the Alan Lowenschuss Trust UAD 1/24/89 and the Edward Lowenschuss Trust UAD 1/24/89, Claimants v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc., Sanford I. Weill, Kevin J. McCaffrey, John B. Hoffmann, Jack B. Grubman, Robert A. Waldman, Joseph M. Friedman, Respondent

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 07-01888 Roger W. Moore Name of the Respondent Hearina Site: Boise, Idaho H.D. Vest Investment Services a/k/a H.D. Vest Investment Securities Nature of the Dispute: Customer v. Member REPRESENTATION OF PARTIES Claimant, Roger W. Moore, hereinafter refen-ed to as "Claimant": Richard B. Fosher, Esq., SimmonsCooper, LLC, East Alton, Illinois

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Richard J. Moody, Individually and as Trustee of the Richard J. Moody Revocable Living Trust and as Personal Trustee of the Estate of Judith L. Moody, Brenna Lynn Michaels, Individually, Kyle Moody, Individually, Ryan Moody, Individually, and Kevin J. Moody, Individually vs. Case Number: 06-01656 Hearing Site: Oklahoma City, Oklahoma Name of Respo

f INRA DISPUTE RESOLUTKW AWARD FIKRA DISPUTE RESOLUTION CASE: 07-02808 Jennifer K. Coradi, ("Claimafif^ vs. Fidelity Brokerage Servtees LLC, ("Reapondenf) ATTORHEYS: Claimant appeared pro se, Murrefls Infet, SC. For Respondent appeared in-house counsel Susan Node, Boston, MA. NATURE OF DISPUTE: Customer vs. Memt>er DATE FILED; September 28.2007 CASE SIAAMM^Y: ClainrKant i^leged that Respondent failed to transfer hjnds in a Hmely manner. Clahnant

Amended Award FINRA Dispute Resolution In the Matter of the .Arbitration Between: Marguerite Ryan (Claimant) vs. Anthony Otto DeGregorio Sr., Ameriprop, Inc., and Steven Douglas Klein (Respondents) Case Number: 04-00504 Hearina Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant Marguerite Ryan hereinafter referred to as "Claimant": William H. Roth, Esq., Wechsler & Cohen, LL

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: James R. Valentine Case Number: 07-02274 Claimant Karen A. Brandenburg; Hearing Site: Los Angeles, California Peter J. Carr; Jeffrey F. Jones; James L. Lundy; and Sharon and Matthew Boutte and The Kenneth Lynn Boutte Family Trust Respondents Nature of the Dispute: Associated Person vs. Customers REPRESENTATION OF PARTIES For James R. Valentine, hereinafter refer

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants Case Number: 06-04074 Charles B. Lee Denise P. Lee Name of the Respondents Hearing Site: Dallas, Texas Raymond James Financial Services, Inc. Moseley and Associates, LLP John M. Moseley Nature of the Dispute: Customer v. Member, Non-Member and Associated Person REPRESENTATION OF PARTIES Claimants, Charles B. Lee and Denise P. Lee, hereinafter c

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-04852 Capitola Sommer Name of the Respondent Hearina Site: Los Angeles, California Edward D. Jones & Co., L.P. Nature of the Dispute: Associated Person v. Member REPRESENTATION OF PARTIES Claimant Capitola Sommer: Richard J. Papst, Esq., Law Offices of Richard J. Papst, Bakersfield, California Respondent Edward D. Jones & Co., L.P.

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Howdy S. Kabrins, Claimant v. Richard Goldstein and Smith Barney, Inc., now known as Citigroup Global Markets, Inc., Respondents Case Number: 97-00418 Hearina Site: Los Angeles, CA Nature of the Dispute: Customer vs. Associated Person and Member Firm REPRESENTATION OF PARTIES For Claimant: For Respondents Richard Goldstein and Smith Barney, Inc., now known as Ci

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 07-01862 UBS Financial Services Inc. Name of the Respondent Hearina Site: Dallas, Texas Joel D. Griffin Nature of the Dispute: Member v. Associated Person REPRESENTATION OF PARTIES Claimant, UBS Financial Services Inc. ("UBS"), hereinafter referred to as "Claimant": Frank J. Vitolo, Esq., Riker Danzig Scherer Hyland Perretti LLP, Morristown