Award FINRA Dispute Resolution In the Matter of the Arbitration Between: James O'Leary (Claimant) vs. Salomon Smith Barney, Inc. and Ron Sallet (Respondents) Case Number: 06-00575 Hearing Site: Newark, New Jersey Nature of the Dispute: Associated Person vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant James O'Leary hereinafter referred to as "Claimant": Dan A. Druz, Esq., Attorney at Law, Manasquan, NJ. Respondents Salomon Sm

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-01982 Marilyn J. Adams, IIRA ("Claimant") vs. A.G. Edwards & Sons, Inc. and Christian Thomas Clinton ("Respondents") ATTORNEYS: Marilyn J. Adams, IIRA ("Claimant") appeared pro se, Lantana, FL For A.G. Edwards & Sons, Inc. and Christian Thomas Clinton ("Respondents") appeared Brent J. Burtin, Esq., in-house counsel of A.G. Edwards & Sons, Inc., St. Louis, MO A.G. Edwards & Sons, Inc. a

Stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-04508 Ramesh Padmanabhan Jaya Padmanabhan RJP Los Altos Investments LLC RJP Investment Partners Pienre Willard PW Gailen Investments, LLC Gailen Partners PW Gailen Alto Investors, Inc. David McLaren DML Sierra Vista Investments LLC Sierra Vista Partners Jean-Rene Menand JRM San Antonio Investments L

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: David A. Castillo, Claimant v. Southwest Securities, Inc., Respondent Case Number: 07-01145 Hearing Site: San Francisco. California Nature of the Dispute: Associated Person v. Member REPRESENTATION OF PARTIES For Claimant: Cary S. Lapidus, Esq. Law Offices of Cary S. Lapidus San Francisco, California For Respondent: Will S. Montgomery. Esq. Hunton & Williams Dallas.

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 07-01744 Citigroup Global Markets Holdings, Inc. Citigroup Global Markets, Inc. d/b/a Smith Barney Name of the Respondent Hearina Site: Boca Raton, Florida Rick D. Jensen Nature of the Dispute: Member and Non-Member vs. Associated Person. REPRESENTATION OF PARTIES For Citigroup Global Markets Holdings, Inc. ("Holdings") and Citigroup

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 07-00190 AIG Financial Advisors, Inc., individually and as successor in interest to Sentra Securities Corporation Name of the Respondents Hearing Site: Boca Raton, Florida Humbert A. "Duke" Michini Paul Gaydos Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Claimant AIG Financial Advisors, Inc., in

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Sheree Swanncak (Claimant) vs. TFS Securities, Inc. (Respondent) Case Number: 07-01242 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Sheree Swanncak hereinafter referred to as "Claimant": Vincent J. Imbesi, Esq., Avelino & Associates, P.C, New York, NY. Respondent TFS Securities, Inc., hereinafter referred to as

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Gary J. Weglarz vs. Case Number: 06-05235 Hearing Site: Chicago, Illinois Names of Respondents Woodbury Financial Services, Inc., Donna Rae Bellamy, and Wayne M. Dennis NATURE OF THE DISPUTE Customer vs. Member and Associated Persons REPRESENTATION OF PARTIES Gary J. Weglarz ("Claimant") was represented by Leslie A. Blau, Esq. and Paul D. Ma

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-02745 Brant Rittenhouse Snavely, III, ("Claimant") vs. The Concord Equity Group, LLC, ("Respondent") ATTORNEYS: For Claimant appeared Stacey E. Nathanson, Esq., of the firm Ellenoff Grossman & Schole, LLP, New York, NY. For Respondent appeared Barry M. Bordetsky, Esq., of the firm Law Office of Barry Bordetsky, New York, NY. NATURE OF DISPUTE: Associated Person vs. Member DATE

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-02659 Todd Meldrum ("Claimant") vs. TD Ameritrade, Inc. ("Respondent") ATTORNEYS: Todd Meldrum ("Claimant") appeared pro se, Canton, OH For TD Ameritrade, Inc. ("Respondent") appeared Kelly R. Davis, Bellevue, NE NATURE OF DISPUTE: Customer v. Member DATE FILED: September 14, 2007 CASE SUMMARY: Claimant alleged that Respondent executed an order he did not place and violated trading