Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 05-06369 Davenport Alley Partnership Names of the Respondents Hearing Site: Richmond, VA National Securities Corporation Steven Tatum Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Davenport Alley Partnership, hereinafter referred to as "Claimant": Steven S. Biss, Esq., Richmond, VA.

Stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 07-02021 Citigroup Global Markets Holdings, Inc. f/k/a Salomon Smith Barney Holdings, Inc. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. Name of the Respondent Hearing Site: Boca Raton, Florida Mark A. Evans Nature of the Dispute: Non-Member and Member vs. Associated Person. REPRESENTATION OF PARTIES F

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 05-05807 David and Louise Blumlo Names of the Respondents Hearing Site: Boca Raton, Florida Pacvest Associates, Inc. Robert K. Mann Advisor's Capital Investments, Inc. Barry Kornfeld Nature of the Dispute: Customer vs. Member, Associated Person and Non-Member. REPRESENTATION OF PARTIES For David and Louise Blumlo, hereinafter coll

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Richard Kates (Claimant) vs. GFI Securities. LLC (Respondent) Case Number: 06-02262 IHearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Richard Kates hereinafter referred to as "Claimant": James A. Batson, Esq., Liddle & Robinson, LLP, New York, NY. Respondent GFI Securities, LLC, hereinafter referred to as "

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Citigroup Global Markets, Inc., f/k/a Salomon Smith Barney, Inc. (Claimant) vs. Eric A. Nelson (Respondent) Case Number: 06-05292 Hearina Site: Boston. Massachusetts Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Citigroup Global Markets, Inc.. f/k/a Salomon Smith Barney. Inc.. hereinafter referred to as "Claimant": Erin A. Rowin. Esq..

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Robert Sam, Jr. and Karen K. Auksl-Sam, Individually and on Behalf of their Roth IRAs. SEP IRA, and North Star Basements, Inc. vs. Case Number: 06-02742 Hearing Site: Chicago, Illinois Name of Respondent Edward D. Jones & Co., L.P. NATURE OF THE DISPUTE Customers vs. Member REPRESENTATION OF PARTIES Robert Sam, Jr. and Karen K. Auksi-Sam,

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Naines of Claimants M. Kathleen McKinney and Merrimac Corporation vs. Case Number: 06-00182 Hearing Site: Indianapolis, Indiana Name of Respondent Merrill Lynch, Pierce, Fenner & Smith, Incorporated NATURE OF THE DISPUTE Customers vs. Member REPRESENTATION OF PARTIES M. Kathleen McKinney ("McKinney") and Merrimac Corporation ("Merrimac"), hereinafter collect

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-04209 M Securities Investment, Inc. Names of the Respondents Hearina Site: Boca Raton, Florida Grigsby & Associates, Inc. Calvin B. Grigsby Nature of the Dispute: Member v. Member and Associated Person. REPRESENTATION OF PARTIES For M Securities Investment, Inc., hereinafter referred to as "Claimant": Curtis Carlson, Esq., Carlson &

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Timothy O. Gilmore, Diane L. Gilmore, individually and as trustees of the Gilmore Family 1998 Trust, and the Gilmore Family 1998 Trust, Claimants v. Citigroup Global Maricets, Inc., Respondent Case Number: 06-04636 Hearina Site: Los Angeles, California Nature of the Dispute: Customers v. Member REPRESENTATION OF PARTIES For Claimants: Sean M. Kneafsey, Esq. Kneafsey Tostado

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Reef Securities, Inc., Claimant v. Robert Stanley, Shawn E. Bartholomae, and American Landmark Securities, Inc., Respondents Case Number: 07-00181 Hearina Site: Dallas, Texas Nature of the Dispute: Member v. Member and Associated Persons REPRESENTATION OF PARTIES For Claimant: For Respondent Robert H. Stanley: For Respondents Shawn H. Bartholomae and American Landma