Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Hugo Castro Name of the Respondent Legg Mason Wood Waii^er, inc. Franit Fierro Case Number: 07-00795 Hearina Site: Columbia, South Carolina Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Hugo Castro, hereinafter referred to as "Claimant," appeared pro se. For Legg Mason Wood Wail^er, Inc. ("LMWW")

stipulated Award FINRA Dispute Resoiution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 05-05660 AIG Financial Advisors, Inc. Name of the Respondent Hearing Site: Chariotte, North Carolina Allen Darby Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For AIG Financial Advisors, Inc. ("AIG"), hereinafter referred to as "Claimant": Abby Henig, Esq., Assistant Counsel, AIG Financial Advisor

Award FINRA Dispute Resoiution In the Matter of the Arbitration Between: Ethel Cress (Claimant) vs. Citigroup Global Markets, Inc., d/b/a Citigroup Smith Barney, Louis Metzger, and Alan Fox (Respondents) Case Number: 07-01661 Hearing Site: Newark, New Jersey Nature of the Dispute: Customer vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant Ethel Cress hereinafter referred to as "Claimant": Jon-Henry Barr, Esq., Barr & Canada, L.L.

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Kevin Doss vs. Case Number: 07-00970 Hearing Site: Cleveland, Ohio Name of Respondent Citigroup Global Mari< ets, Inc. NATURE OF THE DISPUTE Associated Person vs. Member REPRESENTATION OF PARTIES Kevin Doss ("Claimant") was represented by Derek Anderson, Esq., Michaels, Ward & Rabinovitz, LLP, Boulder, Colorado. Citigroup Global Markets, Inc.

STIPULATED AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Wells Fargo Investments, LLC vs. Name of Respondent Monica M. Liska Case Number: 07-01001 Hearing Site: Minneapolis, Minnesota NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES Wells Fargo Investments, LLC ("Claimant" or "Wells Fargo") was represented by Diane C. Fisher, Esq., Kane & Fischer, LTD, Chicag

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Larry D. Parker, Claimant v. A.G. Edwards & Sons, Inc. and Citigroup Global Markets, Inc., Respondents Case Number: 05-05902 Hearinq Site: Denver, Colorado Nature of the Dispute: Customer v. Members REPRESENTATION OF PARTIES For Claimant: Thomas M. Haskins, Esq. The Haskins Law Firm Colorado Springs, Colorado For Respondent A.G. Edwards & Sons, Inc.: James C. Browning,

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Lisa D. Lindley, Claimant v. Strand, Atkinson, Williams & York, Inc., Respondent Case Number: 07-01189 Hearina Site: Portland, Oregon Nature of the Dispute: Associated Person v. Member REPRESENTATION OF PARTIES For Claimant: B. Scott Whipple, Esq. Whipple & Duyck, P.C. Portland, Oregon For Respondent: Edwin A. Harnden, Esq. Barren Liebman Portland, Oregon CASE I

Award FINRA Dispute Resolution In the Matter of the Arbitration Bebveen: Fiduciary Financial Services of the Southwest, Claimant v. VSR Financial Services, Inc., The Masters, Inc. and Mark T. Warner, Respondents Case Number: 06-05422 Hearinq Site: Dallas, Texas Nature of the Dispute: Non-Member v. Member, Non-Member and Associated Person REPRESENTATION OF PARTIES For Claimant: John A. Koepke Jackson Walker L.L.P. Dallas, Texas For Respondent

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 07-01315 Banc of America Investment Services, Inc. Name of the Respondent Hearinq Site: Nashville, Tennessee Thomas Stephen Cooper Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Banc of America Investment Services, Inc., hereinafter referred to as "Claimant": Diane C. Fischer, Esq., Kane & Fischer, Ltd.,

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-04445 American IVIunicipal Securities, Inc. Names of the Respondents Hearinq Site: Raleigh, NC John A. Mitchell Drewry W. Mitchell Name of the Third-Party Respondent Gregg Hollidge, Esq. Nature of the Dispute: Member vs. Customer vs. Associate Person. REPRESENTATION OF PARTIES For Claimant American Municipal Securities ("AMS") an