AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Neal Winberg, Shelley Winberg, the Winberg Family Charitable Trust, and the Winberg Family Partnership, LLP vs. Names of Respondents Charies Schwab & Company, inc., Omnivest, Inc., Donald A. Silversmith, Debra B. Silversmith, Steriing Partners, Inc., and Silversmith Financial Corporation Case Number: 06-04822 Hearing Site: Omaha, Nebraska

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Laura Franzese and Pat Franzese (Claimants) vs. Cariin Financial Group, Inc., Cariin Equities Corp., and Ronald H. Shear (Respondents) Case Number: 06-05282 Hearing Site: New York, New York Nature of the Dispute: Associated Persons vs. Non-Member, Member and Associated Person. REPRESENTATION OF PARTIES Claimants Pat Franzese ("P. Franzese") and Laura Franzese ("L. Franzese"),

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-08035 E*TRADE Securities LLC Name of the ResDondents Hearina Site: San Francisco, California Christina Renee Suh, al(a Christina R. Such Cameron Razavi Nature of the Dispute: Member v. Customers REPRESENTATION OF PARTIES Claimant, E*TRADE Securities LLC ("E*TRADE''): John Bersin, Esq., E*TRADE Securities LLC, Roseville, California

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Oscar R. Munguia Name of the Respondents New Castie Financial Services LLC s/h/a New Castie Financial Group Inc. John Joseph Conroy Kevin Patricia Brennan Benson Yori^ Group, Inc. Reza Abed I Case Number: 07-00470 Hearinq Site: Los Angeles, California Nature of the Dispute: Customer v. Members and Associated Persons REPRESENTATION OF

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Kamran Taval^oii, Claimant v. Newpoint Securities LLC, John Farahi, and Michael K. Khorsandi, Respondents Newpoint Securities LLC, John Farahi, and Michael K. Khorsandi, Counter-Claimants v. Kamran Tavalcoli, Counter-Respondent Case Number: 03-02675 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member and Associated Persons Member and A

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Jean Locascio and Sandy White (Claimants) vs. Trident Partners, Ltd.. and Raymond Burghard (Respondents) Case Number: 07-01431 Hearina Site: New York, New York Nature of the Dispute: Customers vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Jean Locascio ("Locascio") and Sandy White ("White"), hereinafter collectively referred to as "Claimants": Seth E. Li

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-01760 Esdras Vera Name of the Respondent Hearinq Site: San Juan, Puerto Rico Citicorp Financial Services Corp. Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Esdras Vera, hereinafter referred to as "Claimant": Marc A. Susswein, Esq., Liddie & Robbinson, LLP, New York, New York. Citicorp Financial Servi

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-04120 Genevieve Norvelle Smith Name of the Respondent Hearing Site: Birmingham, Alabama Citigroup Global Marl^ets, Inc. Nature of the Dispute: Associated Person vs. IVIember. REPRESENTATION OF PARTIES For Genevieve Norvelle Smith, hereinafter referred to as "Claimant": Raymond Nardo, Esq., Raymond Nardo, Attorney at Law, IVIineola, New Y

Award FINRA Dispute Resolution In the iVIatter of the Arbitration Between: Names of the Claimants Case Number: 06-04970 Jerry Brown Pat Brown Lonnie Brown Nettie Brown Names of the Respondents Hearina Site: New Orieans, Louisiana Citigroup Global Markets, inc. f/l< /a Salomon Smith Barney, Inc. GE Life and Annuity Assurance Company Pacific Life Insurance Company Patrick T. Holt Nature of the Dispute: Customer vs. IVIember, Non-Mem

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Sandra L. Rizzo, individually and as the Beneficial Owner of the IRA FBO Sandra L. Rizzo vs. Names of Respondents Metiife Securities, Inc., an affiliate of Metropolitan Life Insurance Company, a/k/a Metiife, Inc., and Metropolitan Life Insurance Company Case Number: 07-01276 Hearing Site: Pittsburgh. Pennsylvania NATURE OF THE DISPUTE