stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Lucille Small, Claimant v. Citigroup Global Markets, Inc., William A. Blick, Richard Olsen and Sara Olsen Farner, Respondents Case Number: 06-03212 Hearing Site: San Francisco, California Nature of the Dispute: Customer v. Member and Associated Persons REPRESENTATION OF PARTIES For Claimant: Timothy A. Canning, Esq. Law Offices of Timothy A. Canning Novato, C

AWARD FINRA Dispute Resolution In the Matter of the Arf^itration Between: Name of Claimant Richanj H. Crockett vs. Name of Respondent Lehman Brothers, Inc. Case Number; 06-01050 Hearing Site: Chicago, Illinois Associated Person vs. Member REPRESENTATION OF PARTIES Richard H. Crockett ("Claimant") was represented by Peter A. Cantweil, Esq., Cantwell & Cantwell, Chicago, Illinois. Lehman Brothers, Inc. ("Respondenr) was represented

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants/Counter-Respondents Thomas S. Olsson and David J. Brus vs. Name of Respondent/Counter-Claimant LaSalle Financial Services, Inc. Case Number: 06-00693 Hearing Site: Southfield, Michigan NATURE OF THE DISPUTE Associated Persons vs. Member REPRESENTATION OF PARTIES Thomas S. Olsson ("Olsson") and David J. Brus ("Bois"), hereinafter collectively r

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Dale A. Garnett (Claimant) vs. Endeavor Holdings, Inc., Endeavor Capital, and Jon DeMichiel (Respondents) Case Number: 06-05353 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Non-Member, Member, and Associated Person. REPRESENTATION OF PARTIES Claimant Dale A. Garnett hereinafter referred to as "Claimant": Julian Rainero, Esq., Bracewell & Giu

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-01786 Clark Dodge & Co., Inc. ("Claimant") vs. Martin Rybak ("Respondent") ATTORNEYS: For Clark Dodge & Co., Inc. appeared Randle B. Carpenter, Esq., Larchmont, NY Respondent Martin Rybak appeared pro se, Bronx, NY NATURE OF DISPUTE: Member v. Associated Person DATE FILED: June 11, 2007 CASE SUMMARY: Claimant alleged that Respondent failed to repay a loan of $12,500.00 made to him

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-00219 Citigroup Global Markets, Inc. ("Claimant") v. Pamela Williams ("Respondent") ATTORNEYS: For Citigroup Global Markets, Inc. appeared Joan Toro, Esq., of the law-firm Alonso, Andalkar & Kahn, P.C, NewYork, NY Respondent did not submit an Answer to the Statement of Claim. NATURE OF DISPUTE: Member v. Customer DATE FILED: January 24. 2007 CASE SUMMARY: Claimant alleged that Resp

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-01475 Nina N. Marcuccio, ("Claimant") vs. Delta Equity Services Corporation, ("Respondent") ATTORNEYS: For Claimant Nina N. Marcuccio appeared Ted A. Marcuccio, Rockville, MD For Respondent Delta Equity Services Corporation appeared in-house counsel, Scott P. Aubrey, Esq., Bolton, MA NATURE OF DISPUTE: Customer vs. Member DATE FILED: May 7, 2007 CASE SUMMARY: Claimant alleged that

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Gene A. Gautreaux Lynn Gautreaux Names of the Respondents Salomon Smith Barney, Inc. Rickey Major Names of Third Partv Respondents Elizabeth Kimberiy Hough Nancy Ruth Mangham Frances Ann Schwehr as Heirs of Virginia Gautreaux Case Number: 04-00499 Hearing Site: New Orieans, Louisiana Nature of the Dispute: Customer vs. Member a

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Edward F. McDonald (Claimant) vs. Commonwealth Financial Network and Paul Hess (Respondents) Case Number: 07-00170 Hearing Site: Boston, Massachusetts Nature of the Dispute: Customer vs. Associated Person and Member. REPRESENTATION OF PARTIES Claimant Edward F. McDonald hereinafter referred to as "Claimant": Kevin G. Diamond, Esq., Shea & Diamond, Holliston, MA. Respondents

FINRA DISPUTE RESOLUTION AWARD FiNRA DISPUTE RESOLUTION CASE: 07-02046 Janney Montgomery Scott LLC, ("Claimant") vs. Michael J. Pinckes, ("Respondent") ATTORNEYS: For Claimant appeared in-house counsel Carrie L. Cheiko, Esq., Philadelphia, PA. Respondent did not submit an Answer to the Statement of Claim. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: July 5, 2007 CASE SUMMARY: Claimant alleged that Respondent breached an employment