AWARD FINRA Dispute Resolution in the Matter of the Arbitration Between: Names of Claimants Lance deStwolinski, Individually and as Co-Trustee of the Lance deStwolinski Revocable Trust and Elizabeth deStwolinski, Individually and as Co-Trustee of the Lance deStwolinski Trust vs. Name of Respondent Citigroup Global Markets, Inc. Case Number: 06-05403 IHearing Site: Omaha, Nebraska NATURE OF THE DISPUTE Customers vs. Member

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Mark D. Brittan vs. Name of Respondent Smith Bamey, Inc., a division of Citigroup Global Markets, Inc. Case Number: 06-04092 Hearing Site: Omaha, Nebraska NATURE OF THE DISPUTE Associated Person vs. Member REPRESENTATION OF PARTIES Majk D. Brittan ("Claimant") was represented by Edward F. Pohren, Esq., Dwyer, Smith, Gardner, Lazer, Pohre

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 06-01740 Alvaro Eduardo Joaquin Francisco Perez de Castro Maria Cecilia Penna Name of the Respondent Hearing Site: Boca Raton, Florida EFG Capital International Corp. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Alvaro Eduardo Joaquin Francisco Perez de Castro and Maria Cecilia Penna, hereinafter collectively

Stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Michael DiStefano (Claimant) v. Summit Equities, Incorporated and David Chepauskas (Respondents) Case Number: 04-07111 Hearing Site: Newark, New Jersey Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Michael DiStefano hereinafter referred to as "Claimant": Brian Neville, Esq., The Law Offices of Brian Neville, New

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-00579 Jeffrey L. Feist (Claimant) vs. Fiserv Securities, Inc. (Respondent) ATTORNEYS: Claimant Jeffrey L. Feist ("Claimant") appeared pro se, New York, NY. For Respondent Fiserv Securities, Inc. ("Respondent") appeared Michael N. Gordan, Esq., Philadelphia, PA. NATURE OF DISPUTE: Associated Person v. Member DATE FILED: February 23, 2007 CASE SUMMARY: Claimant alleged mistaken langu

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Fanam, LLC (Claimant) vs. Merrill Lynch, Pierce, Fenner & Smith, Incorporated (Respondent) Case Number: 04-05063 Hearina Site: Cleveland, Ohio Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Fanam, LLC, hereinafter referred to as "Claimant": Louis F. Burke, Esq., and Leslie Wybiral, Esq., Louis F. Burke, P.C, New York, NY. Respondent Merrill L

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Anne McCarver (Claimant) vs. Smith Barney, Inc., Brian Katz, and Joseph DeNeault (Respondents) Case Number: 05-04863 Hearing Site: Providence, Rhode Island Nature of the Dispute: Associated Person vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant Anne McCarver ("McCarver") hereinafter referred to as "Claimant": Catherine A. Sammartino, Esq., Samma

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant James Krieg vs. Names of Respondents Ameriprlse Financial Services and Todd Allen Glaw Case Number: 06-04456 Hearing Site: Des Moines, Iowa NATURE OF THE DISPUTE Customer vs. Member and Associated Person REPRESENTATION OF PARTIES James Krieg ("Claimant") was represented by Gail E. Bolivar, Esq., Bolivar Law Firm, Marshalltown, Iowa.

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Jacqueline Hayes vs. Names of Respondents Stifel. Nicolaus & Co.. Inc. and Curtis W. Triggs Case Number: 05-01072 Hearing Site: St. Louis, Missouri NATURE OF THE DISPUTE Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Jacqueline Hayes ("Claimant") appeared pro se. Stifel, Nicolaus & Co.. Inc. ("Stifel") was represente

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Christine McGinnis, Claimant v. UBS Financial Sen/ices Inc., Respondent UBS Financial Sen/ices Inc., Counter-Claimant v. Christine McGinnis, Counter- Respondent UBS Financial Services Inc., Third-Party Claimant v. Fredrick W. McGinnis, Third-Party Respondent Case Number: 06-04621 Hearina Site: Houston, Texas Nature of the Dispute: Customer v. Member Nature of the Dispute: M