FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 06-04726 George B. Graen and Joan A. Graen (Claimants) vs. TIAA-CREF, Inc. and Laura DIshman (Respondents) ATTORNEYS: Claimants George B. Graen and Joan A. Graen ("Claimants") appeared pro se, Lowell, AR. For Respondent TIAA -CREF, Inc. appeared Cananza M. Pryor, in-house counsel, Charlotte, NC. For Respondent Laura Dishman appeared Gary P. Baricet, Esq.. Little Rock, AK. NATURE O

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-00628 Thomas Anthony Guemero (Claimant) vs. Mohamed imran Hussain (Respondent) ATTORNEYS: For Claimant Thomas Anthony Guemero appeared Michael S. Colombo of StreetWide Asset Recovery Group, Inc., New Yori(, NY. Respondent did not submit an Answer to the Statement of Claim. NATURE OF DISPUTE: Associated Person v. Associated Person DATE FILED: February 27.2007 CASE SUMMARY: Claimant

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 07-00333 Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. Name of the Respondent Hearing Site: Boca Raton, FL Jason H. Blum Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. ("Citigroup"), hereinafter referred to as

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-04375 Banc of America Investment Services, Inc. Name of the Respondent Hearing Site: Richmond, VA Davis Estes Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Banc of America Investment Services, Inc. ("BOA"), hereinafter referred to as "Claimant": Diane C. Fischer, Esq., Kane & Fischer, Ltd., Chicago, I

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Banc of America Investment Services, Inc., Claimant v. Danny L. Kiick, Respondent Case Number: 06-03414 Hearing Site: San Francisco, California Nature of the Dispute: Member v. Associated Person REPRESENTATION OF PARTIES For Claimant: D. Daxton White Kane & Fischer, Ltd. Chicago, llinois For Respondent: Danny L. Kiick In Propria Persona Rohnert Park, California

Amended Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Margo Piscevich, Marge Piscevich IRA, and Margo Piscevich Profit Sharing Plan, Claimants v. Associated Securities Corp., Patricia F. Meidell, and Laif E. Meidell, Respondents Case Number: 06-02122 Hearino Site: Reno, Nevada Nature of the Dispute: Customers v. Member and Associated Persons REPRESENTATION OF PARTIES For Claimants: Thomas C. Bradley, Esq. Sinai, Schroe

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Thomas A. Woolman Name of the Respondent USAA Investment Management Company Case Number: 07-00210 Hearing Site: Washington, D.C. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Thomas A. Woolman, hereinafter referred to as "Claimant", appeared pro se. For USAA Investment Management Company ("USAA"), hereinafter referred to

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Donald Wisner vs. Names of Respondents Ehrenkrantz, King, Nussbaum, Inc. a/k/a EKN Financial Services, Inc. and Ahmad Wares Case Number. 06-04581 Hearing Site: Southfield, Michigan NATURE OF THE DISPUTE Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Donald Wisner ("Claimant") was represented by Brian J. Masternak, Es

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Eric J. Ginzburg vs. Case Number: 06-01546 Hearing Site: Chicago, Illinois Names of Respondents Ameritrade, Inc. and John Peter Ricketts NATURE OF THE DISPUTE Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Eric J. Ginzburg ("Claimant") appeared pro se. Ameritrade, Inc. ("Ameritrade") and John Peter Ricketts ("Ricketts"),

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Amin Merchant and Apex Trading House, Claimants v. Edward X. So, Charles Schwab & Co., Inc. and Prudential Equity Group, LLC, Respondents Case Number: 03-04728 Hearing Site: San Francisco, Califomia Nature of the Dispute: Customers v. Members and Associated Person REPRESENTATION OF PARTIES For Claimants: Amin Merchant Concord, NSW Australia For Respondents Charies Schwab &