Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Devora Tilson, Individually, and as Co-Guardian of the Property Management of Jack Tilson, an incapacitated person, and Frank Yula, as Co-Guardian of the Property Management of Jack Tilson (Claimants) vs. Thomas R. Kershner and Kennerman Associates, Inc. (Respondents) Case Number: 06-05154 Hearing Site: Nevy York. New York Nature of the Dispute: Customers vs. Non-Members. REPRE

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 07-00952 Bella M. Darmon Name of the Respondent Hearing Site: Washington, D.C. Merrill Lynch, Pierce, Fenner & Smith, Inc. Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES For Bella M. Darmon, hereinafter referred to as "Claimant": John H. West, III, Esq., West & Costello, LLC, Baltimore, MD. For Merrill Ly

AWARD FiNRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants James W. Stafford and Ann B. Stafford vs. Case Number: 07-00339 Hearing Site: St. Louis, Missouri Name of Respondent A.G. Edwards & Sons, Inc. NATURE OF THE DISPUTE Customers vs. Member REPRESENTATION OF PARTIES James W. Stafford and Ann B. Stafford, hereinafter collectively referred to as "Claimants," were represented by Richard B. Fosher

stipulated Award FINFIA Dispute Resolution In the Matter of the Arbitration Between: Citigroup Global Markets Holdings, Inc. f/k/a Salomon Smith Barney Holdings, Inc. and Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc., Claimants v. Ronald F. Powell, Jr., Respondent Ronald F. Powell, Jr., Counter-Claimant v. Citigroup Global Markets Holdings, Inc. f/k/a Salomon Smith Barney Holdings, Inc. and Citigroup Global Markets, inc. f/k/a Salomon

Award FINRA Dispute Resolution In the Matter ofthe Arbitration Between; GunnAllen Financial (Claimant) vs. Wayne Lieberz (Respondent) Case Number; 06-04392 Hearing Site; New York, New York Nature ofthe Dispute; Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant GunnAllen Financial hereinafter referred to as "Claimant"; Michael P. Gilmore, Esq., Sims Moss Kline & Davis, LLP, Mineola, NY. Previously represented by Jay Israel, Esq., GunnA

Award FiNRA Dispute Resolution In the Matter of the Arbitration Between; Name of the Claimant Case Number; 07-00874 Signal Securities, Inc. Names of the Respondents Hearing Site: Chariotte, North Carolina James Cowan Wells Real Estate Funds Nature of the Dispute: Member vs. Non-members. REPRESENTATION OF PARTIES For Signal Securities, Inc., hereinafter referred to as "Claimant": Gilbert W. Boyce, Esq., Kutak Rock, L.L.P., Washington, DC.

Award FINRA Dispute Resolution In the Matter of the Arbitration Between; Names of the Claimants Case Number: 07-00451 Citigroup Global Markets Holdings, Inc. Citigroup Global Markets, Inc. d/b/a Smith Barney Name of the Respondent Hearing Site; Boca Raton, Florida Peter M. Muer Nature of the Dispute; Non-member and Member vs. Associated Person. REPRESENTATION OF PARTIES For Citigroup Global Markets Holdings, Inc. ("Citigroup Holdings") and C

AWARD FINRA Dispute Resolution In the Matter ofthe Arbitration Between; Name of Claimant Michael R. Young vs. Name of Respondent First Kentucky Securities Corporation Case Number; 06-04988 Hearing Site; Louisville. Kentucky NATURE OF THE DISPUTE Associated Person vs. Member REPRESENTATION OF PARTIES Michael R. Young ("Claimant") appeared in pro per. First Kentucky Securities Corporation ("Respondent") was represented by Stan Kram

Award FINRA Dispute Resolution In the Matter ofthe Arbitration Between; Names ofthe Claimants Case Number: 06-05223 Ronald E. Warren Shelby H. Warren Names of the Respondents Hearing Site: Birmingham, Alabama A.G. Edwards & Sons, Inc. Allen Wall Michael R. Cramer Sharon Tate Correll Estate of Julius Franklin Kenny, III Lifesource Solutions Transamerica Occidental Life Insurance Co, Nature of the Dispute: Customer vs. Member, Non-

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-01174 Laurie Lujan ("Claimant") vs. Citigroup Global Markets, Inc. ("Respondent") ATTORNEYS: Laurie Lujan ("Claimant") appeared pro se, West Linn, OR For Citigroup Global Market, Inc. ("Respondent") appeared in-house counsel, Marcie S. Mintz, Esq., NewYork, NY NATURE OF DISPUTE: Associated Person v. Member DATE FILED: Aprill 2, 2007 CASE SUMMARY: Claimant alleged that she did not r