AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Arthur L. Kievai vs. Name of Respondent Citigroup Global Markets, Inc. Case Number: 05-03814 Hearing Site: Houston, Texas NATURE OF THE DISPUTE Associated Person vs. Member REPRESENTATION OF PARTIES Arthur L. Kievai ("Claimant") was represented by David L. Ward, Esq., Michaels, Ward & Rabinovitz, LLP, Boston, Massachusetts. Citigroup Glo

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Beatrice Pautienis vs. Case Number: 07-01002 Hearing Site: Cleveland, Ohio Name of Respondent McDonald Investments, Inc. NATURE OF THE DISPUTE Customer vs. Member REPRESENTATION OF PARTIES Beatrice Pautienis ("Claimant") appeared pro se. McDonald Investments, inc. ("Respondent") was represented by Joseph S. Simms, Esq., Ulmer Beme, LLP, Clev

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Harold N. Heussner and Marjorie A. Heussner vs. Case Number: 06-03595 Hearing Site: Southfield, Michigan Name of Respondent Merrill Lynch, Pierce, Fenner & Smith, inc. NATURE OF THE DISPUTE Customers vs. Member REPRESENTATION OF PARTIES Harold N. Heussner and Marjorie A. Heussner ("Claimants") were represented by Robert A. McCall, Esq., Sylvan

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants/Counter-Respondents UBS Financial Services, Inc., Jeffrey Carroll, and Rebecca Gadus vs. Case Number: 06-00880 Hearing Site: Dallas, Texas Name of Respondent/Counter-Claimant Sammy Joe Gordon NATURE OF THE DISPUTE Member and Associated Persons vs. Associated Person REPRESENTATION OF PARTIES UBS Financial Services, Inc. ("UBS"), Jeffrey Car

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-05381 Robert L. Gilbert TTEE Robert Lee Gilbert Trust DTD 2/25/91 Names of the Respondents Hearing Site: Columbia, South Carolina McGinn Smith & Co., Inc. David L. Smith Brian T. Mayer Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Robert L. Gilbert TTEE Robert Lee Gilbert Trust DTD 2/

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-03921 Sharon P. Opfer Names of the Respondents Hearing Site: Norfolk, VA LifeMark Securities Corp. Rita Marie Hampton Nature ofthe Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Sharon P. Opfer, hereinafter referred to as "Claimant": Jane L. Stafford, Esq. and Benjamin R. Prell, Esq., Stafford + Ass

Award FINRA Dispute Resolution In the Matter ofthe Arbitration Between: Names of the Claimants SunTrust Banks, Inc. SunTrust Capital Markets, Inc. SunTnjst Investment Services, Inc. Name of the Respondent Gary Steven Brochin Case Number: 07-00015 Hearinq Site: Atianta, Georgia Nature of the Dispute: Member and Non-Member vs. Associated Person. REPRESENTATION OF PARTIES For SunTrust Banks, Inc. ("STB"), SunTrust Capital Markets, Inc.

Stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Americo Joseph Santelia a/k/a Rich or Rick Santella (Claimant) vs. Sparkle Martin a/k/a Juinine Pettiford (Respondent) Case Number: 07-01964 Hearinq Site: Philadelphia, Pennsylvania Nature of the Dispute: Associated Person vs. Customer. REPRESENTATION OF PARTIES Claimant Americo Joseph Santella a/k/a Rich or Rick Santella hereinafter referred to as "Claimant": Samuel

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Kenneth J. Fitzpatrick, M.D. (Claimant) vs. H&R Block Financial Advisors, Inc. (Respondent) Case Number: 06-04865 Hearinc Site: Philadelphia, Pennsylvania Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Kenneth J. Fitzpatrick, M.D., hereinafter referred to as "Claimant" appeared pro se. Previously represented by Jeanette N. Simone, Esq., Riley Rip

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-02070 Robert J. Granger ("Claimant") vs. Wachovia Securities, LLC ("Respondent") ATTORNEYS: Robert J. Granger appeared pro se, Savannah, GA For Wachovia Securities, LLC appeared in-house counsel Beverly Jo Slaughter, Esq., Richmond, VA NATURE OF DISPUTE: Customer v. Member DATE FILED: June 12, 2007 CASE SUMMARY: Claimant alleged error charges. Claimant maintained that due to Re