AWARD FINRA Dispute Resolution in tlie Matter of the Arbitration Between: Name of Claimant Joiin Babaiis vs. Case Number: 07-00213 Hearing Site: Charleston, West Virginia Names of Respondents Raymond James Financial Services, Inc., Kevin B. Graiiam, and Tliomas D. Hanrington NATURE OF THE DISPUTE Associated Person vs. Member and Associated Persons REPRESENTATION OF PARTIES John Babaiis ("Claimant") was represented by Timothy A. C

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-02669 Gerald K. Crawford, ("Claimant") vs. Ameriprise Financial Services, ("Respondent") ATTORNEYS: Claimant appeared pro se, Salinas. CA. For Respondent appeared in-house counsel David Flower. Minneapolis. MN. NATURE OF DISPUTE: Customer vs. Member DATE FILED: September 5. 2007 CASE SUMMARY: Claimant alleged that Respondent failed to disclose facts regarding investments. Claimant

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-02691 John A. Maisano, ("Claimant") vs. UBS Financial Services Inc. and Judson Sibley Potter, ("Respondents") ATTORNEYS: Claimant appeared pro se, Winchester, MA. For Respondents appeared in-house counsel Tracey Salmon-Smith, Esq., New York. NY. NATURE OF DISPUTE: Customer v. Member and Associated Person DATE FILED: September 11, 2007 CASE SUMMARY: Claimant alleged that Respond

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Jason Cohen, individually, and on behalf of Oracle Services, Inc., FBO Jason Cohen (Claimants) vs. UBS Financial Services, Inc. (Respondent) Case Number: 07-00114 Hearina Site: New York. New York Nature of the Dispute: Customers vs. Member. REPRESENTATION OF PARTIES Claimants Jason Cohen, individually, and on behalf of Oracle Services, inc.. FBO Jason Cohen, hereinafter referre

AWARD FINFiA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Mehrdad Pourfariiadi vs. Name of Respondent ETrade Securities, LLC Case Number: 07-00068 Hearing Site: Columbus, Ohio NATURE OF THE DISPUTE Customer vs. Member REPRESENTATION OF PARTIES Mehrdad Pourfariiadi ("Claimant") was represented by Marceil Rose Anthony, Esq., Law Offices of Marceil Rose Anthony, Columbus. Ohio. E*Trade Securities

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 05-04113 Steven A. Smith and R. Alex Smith Names of the Respondents Hearinq Site: Jackson, Mississippi UBS Financial Services a/k/a Paine Webber Gregory K. Swanson Putnam Retail Management, LLP American Funds - Washington Mutual Investors Fund Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF

Stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 07-01871 Citigroup Global Marl^et Holdings, Inc. Citigroup Global Markets, Inc. d/b/a Smith Barney Name of the Respondent Hearing Site: Atianta. Georgia Christopher W. Keelin Nature of the Dispute: Non-Member and Member vs. Associated Person. REPRESENTATION OF PARTIES For Citigroup Global Maricet Holdings. Inc. ("CGMH") and Cit

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-05400 Banc of America Investment Services, inc. Name of the Respondent Hearinq Site: Raleigh, N.C. Eric Rivenbark Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Banc of America Investment Services, Inc. ("BAI"). hereinafter referred to as "Claimant": Diane C. Fischer. Esq., Kane & Fischer. Ltd.. Chicag

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Leona Levitan Arieen Bronstein Susan Goodman JT TEN Names of the Respondents Prudential Equity Group. LLC David Pike Douglas Damrow Daniel O'Shea Case Number: 06-05397 Hearina Site: Boca Raton. FL Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Leona Levitan, Arieen Bro

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Jean Robinson vs. Names of Respondents Wedbush Morgan Securities Inc.. Torrey Pines Securities. Inc.. and Christopher D. Olson Case Number: 07-00753 Hearing Site: Milwaukee. Wisconsin NATURE OF THE DISPUTE Customer vs. Members and Associated Person REPRESENTATION OF PARTIES Jean Robinson ("Robinson" or "Claimant") was represented by Tere