AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Norman R. Burns, Individually as Beneficiary of his Individual Retirement Account and as Tmstee of the Norman R. Burns Trust vs. Case Number: 06-03100 Hearing Site: Cleveland, Ohio Names of Respondents Multi-Financial Securities Corporation, formeriy known as Vestax Securities Corporation NATURE OF THE DISPUTE Customer vs. Member and Ter

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Citigroup Global Markets, Inc., the Successor in Interest to Legg Mason Wood Walker, Inc. vs. Name of Respondent Bret A. Swisher Case Number: 06-4112 Hearing Site: Columbus, Ohio NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION QF PARTIES Citigroup Global Markets, Inc., the Successor in Interest to Legg Mason Wood Walker, in

AWARD FINRA Dispute Resolution In the Matter of tlie Arbitration Between: Names of Claimants A. Dan Flannery and Tolman Flannery vs. Case Number: 06-04869 Hearing Site: Chicago, Illinois Names of Respondents Wachovia Securities, LLC and William Ray Muehlhauser, II NATURE QF THE DISPUTE Customers vs. Member and Associated Person REPRESENTATION OF PARTIES A. Dan Flannery and Tolman Flannery ("Claimants") were represented by Laurence M.

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Harold I. Geringer and Jeff G. Mallouk as Executors of the Estate of George Mallouk (Claimants) vs. Citigroup Global Markets, Inc., and Otto John Betz, ill (Respondents) Case Number: 07-00312 Hearinq Site: New York, New York Nature of the Dispute: Customers vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Harold I. Geringer ("Geringer") and Jeff G. Mallouk ("Ma

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-02051 Citigroup Global Markets. Inc. d/b/a Smith Barney, ("Claimant") vs. Econotek, LLC, ("Respondent) ATTORNEYS: For Claimant appeared Erin E. Mac Avoy, Esq., of the fimn Alonso, Andalkar & Kahn, P.C, New York, NY. Respondent did not submit an Answer to the Statement of Claim. NATURE OF DISPUTE: Member vs. Customer DATE FILED: July 13, 2007 CASE SUMMARY: Claimant alleged that

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Empire Financial Group, Inc. (Claimant) vs. David Mikhlin (Respondent) Case Number: 07-00886 Hearinq Site: New York, New York Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Empire Financial Group, Inc., hereinafter referred to as "Claimant": Richard J. Babnick, Jr., Esq., Sichenzia Ross Friedman Ference LLP, New York, NY. Respondent Davi

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Torsten Scholi and DEQ GMBH & CO. Venture KG (Claimants) vs. Merrill Lynch, Pierce, Fenner & Smith, Inc., and J.P. Morgan Securities, Inc. (Respondents) Case Number: 06-05015 Hearing Site: Nev*/ York, New York Nature of the Dispute: Customers vs. Members. REPRESENTATION OF PARTIES Claimants, Torsten Scholl ("Scholi") and DEQ GMBH & CO. Venture KG ("DEQ"), hereinafter collective

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant/Counter-Respondent Wells Fargo Investments, LLC vs. Name of Respondent/Counter-Claimant Carlisle W. Kelson Case Number: 06-03396 Hearing Site: Indianapolis, Indiana NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES Wells Fargo Investments, LLC ("Wells Fargo") was represented by Ronald P. Kane, Esq., Kane & Fischer,

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-05117 Jack B. Shirley, Jr. Name of the Respondent Hearing Site: Little Rock, Arkansas Pruco Securities, LLC Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Jack B. Shirley, Jr., hereinafter referred to as "Claimant," appeared pro se until on or about April 30, 2007. Thereafter, Stephen Fisher, Esq., Little

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Scottrade, Inc., Claimant v. Andy Nguyen aka Andy Nguyan, Respondent Case Number: 07-00804 Hearina Site: Los Angeles, California Nature of the Dispute: IVIember v. Customer REPRESENTATION OF PARTIES For Claimant: Thomas L. Azar, Jr. Thompson Coburn LLP St. Louis, IVIissouri For Respondent: Andy Nguyen In Pro Se Covina, California CASE INFORMATION