Award FINRA Dispute Resolution In the Matter ofthe Arbitration Between: Keith A. Kritikal^os and Hollis L. Orvik, Claimants v. UBS Financial Services, inc.. Respondent Case Number: 07-01852 Hearing Site: San Francisco, California Nature ofthe Dispute: Customers v. Member REPRESENTATION OF PARTIES For Claimants: Keith A. Kritil^akos San Carlos, California For Respondent: Payne L. Templeton, Esq. UBS Financial Services, Inc. Los Angeles, C

Award FINRA Dispute Resolution in the Matter ofthe Arbitration Between: Elizabeth Trembly, Sande Alessi d/b/a The Casting Couch, Robert S. Williamson and Helene Williamson, Claimants v. Bradford A. Phillips, Lindsey C. Riley, First Allied Securities, Inc., and FAS Holdings, Inc., Respondent Case Number: 05-00581 Hearing Site: Los Angeles, California Nature of the Dispute: Customers v. Member, Non-Member, and Associated Persons REPRESENTATION OF PART

Award FINRA Dispute Resolution In the Matter ofthe Arbitration Between: Name of the Claimant Case Number: 07-01027 Margaret Ann Welch Names of the Respondents Hearinq Site: Orlando, FL Morgan Stanley DW, Inc., Robert Alonzo Glover Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Margaret Ann Welch, hereinafter referred to as "Claimant", was represented by Scott L. Silver, Esq. of Blum & Silver, LLP

AWARD FINRA Dispute Resolution in the Matter ofthe Arbitration Between: Name of Claimant Roma Senyl( VS. Names of Respondents Robert Uhr, Broadstreet Securities, Inc., Mary P. Mada, and Stuart G. Burchard Case Number: 06-04860 Hearing Site: Detroit, Michigan NATURE OF THE DISPUTE Customer vs. Member and Associated Persons REPRESENTATION OF PARTIES Roma Senyk ("Claimant") was represented by Dominic Silvestri, Esq., Dailey & Steam

AWARD FINRA Dispute Resolution in the Matter ofthe Arbitration Between: Names of Claimants Dennis Metter and Donald Matter vs. Case Number 06-00700 Hearing Site: Chicago, Illinois Name of Respondent Wachovia Securities, LLC formeriy d/b/a First Union Securities NATURE OF THE DISPUTE Associated Persons vs. Member REPRESENTATION OF PARTIES Dennis Metter and Donald Metter ("Claimants") were represented by Gregory A. Friedman, Esq. a

AWARD FINRA Dispute Resolution in the Matter of the Arbitration Between: Names of Claimants Kerry Meyer and William Kreyenhagen vs. Case Number: 07-01426 Hearing Site: Cincinnati, Ohio Names of Respondents Multi-Financial Securities Corporation, Robert H. Hogsette, Jr., Dawson Wealth Management Agency, Inc., and Dawson Corporation, LTD NATURE OF THE DISPUTE Customers vs. Member, Associated Person and Non-Members REPRESENTATION OF

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: McLaughlin, Piven, Vogel Securities, inc.. Claimant v. Jimmie Lee Griffith, Respondent Jimmie Lee Griffith, Counter-Claimant v. McLaughlin, Piven, Vogel Securities, Inc., Counter-Respondent Case Number: 03-06793 Hearing Site: San Francisco, California Nature of the Dispute: Member v. Associated Person Associated Person v. Member REPRESENTATION OF PARTIES For Claimant: Mark

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Recipco Corporation, Claimant v. Citigroup Global Markets, Inc. d/b/a Salomon Smith Barney and Rebecca S. Rothstein, Respondents Case Number: 06-00393 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Eric F. Yuhi Yuhl Stoner & Carr, LLP Santa Monica, California For Respondent Ci

Award FINRA Dispute Resolution In the Matter ofthe Arbitration Between: Citigroup Global Markets, Inc., Claimant v. Christopher E. Frazier, Respondent Case Number: 07-00224 Hearing Site: Denver, Colorado Nature of the Dispute: Member v. Associated Person REPRESENTATION OF PARTIES For Claimant: Ron Kane, Esq. Kane & Fischer, Ltd. Chicago, Illinois For Respondent: Christopher E. Frazier Pro Se Littleton, Colorado CASE INFORMATION S

AWARD FINRA Dispute Resolution in the Matter of the Arbitration Between: Name of Claimant Elaine L. Pulig vs. Names of Respondents Janney Montgomery Scott, LLC and Jean Smith Case Number: 06-05136 Hearing Site: Pittsburgh, Pennsylvania Customer vs. Member and Associated Person Elaine L. Pulig ("Claimant") appeared pro se. Janney Montgomery Scott. LLC ("Janney Montgomery") was represented by Carrie L. Cheiko, Esq.. Janney Montgome