stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration BehA/een: Name of the Claimant Case Number. 07-01028 Morgan Stanley DW, Inc. Name of the Respondent Hearing Site: Atianta, Georgia Richard J. Paganelli Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Morgan Stanley DW, Inc., hereinafter referred to as "Claimant": Thomas A. Volz, Esq., Kane & Fischer, Ltd., Chicago, Illinois. Richard

Award FINRA Dispute Resolution In the Matter of the Arbitration Behween: Name of the Claimant Case Number: 06-02790 RBC Dain Rauscher, Inc. Name of the Resoondent Hearing Site: Memphis, Tennessee Lynda Ann Findlay Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For RBC Dain Rauscher, Inc. hereinafter referred to as "Claimant": Donald Arbour, Esq., Minneapolis, Minnesota and Carolyn Guy, Senior Associate General Cou

Award FINRA Dispute Resolution In the Matter of the Arbitrafion Between: Aurum Capital Partners, L.P. and Leonfina Rowe (Claimants) vs. Lehman Brothers, Inc. and Sofia Frankel (Respondents) Case Number: 04-07284 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Aurum Capital Partners, L.P. ("Aurum") and Leontina Rowe ("Rowe"), hereinafter collectively referred to a

Award FINRA Dispute Resolution In the Matter of the Arbitration Behween: Citigroup Global Markets, Inc. (Claimant) vs. Michael Friedman (Respondent) Case Number: 05-06503 Hearing Site: New York, New York Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Citigroup Global Markets, Inc. ("Claimant"): Jennifer Woods-Burke, Esq., Lubiner & Schmidt, Cranford, NJ. Respondent Michael Friedman ("Friedman"): Joseph F. Kee

stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 07-01250 Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. Name of the Respondent Hearino Site: Atianta, Georgia Joseph E. Kenna Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc., hereinafter referred to as "Claimant"

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-05283 Lafise Valores Santo Domingo, S.A. Name of the Respondent Hearing Site: Boca Raton, Florida Stanford Group Company Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Lafise Valores Santo Domingo, S.A., hereinafter referred to as "Claimant": Curtis Carison, Esq. and V. Michael Arias Esq., Carlson & Lewittes, M

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Mary Jacqueline DeThorne vs. Case Number: 05-01567 Hearing Site: Chicago, Illinois Names of Respondents Rothschild Investment Corporation, Optimum Investment Advisors, LLC, and Edward Malysiak NATURE OF THE DISPUTE Customer vs. Member, Non-Member and Associated Person REPRESENTATION OF PARTIES Mary Jacqueline DeThorne ("Claimant") was represente

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 07-00723 High Mark Securities, Inc. High Mark Associates, Inc. High Mark Insurance and Financial Services, inc. John J. Pennachio Mark R. Wells Name of the Respondent Hearino Site: Atlanta, Georgia Royal Alliance Associates. Inc. Nature of the Dispute: Member, Non-Member and Associated Person vs. Member. For High Mark Securities,

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 07-00423 Citigroup Global Markets, Inc., d/b/a Smith Barney Citigroup Global Markets Holdings, Inc. Names of the Respondents Hearing Site: Orlando, FL James Potter Eugene Brendon McCarthy, III Brian W. Laughlin Dennis W, Laughlin Judith McCarthy Barbara Shauiis Denise M. Antonetz Stifel Nicolaus & Company, Incorporated

Award FINRA Dispute Resolution In the Matter ofthe Arbitration Between: Names of the Claimants Case Number: 07-00072 Franz Ritucci-Chinni Martha Ritucci-Chinni Guilio Zeni Elena Zeni Francesco Ritucci-Chinni Assunta Ritucci-Chinni Names of the Respondents Hearing Site: Oriando, Florida Steriing Financial Investment Group Equinox Securities, Inc. Chris Palkowitsh Nature of the Dispute: Customer vs. Member and Associated Person.