Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Alfonso Carios Pena 2004 Revocable Living Trust, Alfonso C. Pefia, Dr. Devon G. Pefta in his capacity as attomey-in-fact for Alfonso C. Pefia and as Trustee of the Alfonso Carlos Pefia 2004 Revocable Living Trust, and Tania Hemandez, in her capacity as attomey-in-fact for Alfonso C. Pefia and as Trustee of the Alfonso Carlos Pefia 2004 Revocable Living Trust, Claimants v. GBS Financial

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 07-00175 Edgar Rene Barron Name of the Respondent Hearing Site: Orlando, FL Colonial Brokerage, Inc. Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES For Edgar Rene Barron, hereinafter referred to as "Claimant": K. Michael Swann, Esq., Snyderburn, Rishoi & Swann, Maitland, FL. For Colonial Brokerage, Inc. (

Amended Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-02775 George Luis Salguero Name of the Respondent Hearing Site: Boca Raton, Florida Citigroup Global Markets, Inc. Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES For George Luis Salguero, hereinafter referred to as "Claimant": William R. Amiong, Esq., Amiong & Amiong, P.A., Fort Lauderdale, Florida

Award FINRA Dispute Resolution In the Matter of the Arbitration Behveen: Banc of America investment Services, Inc., Claimant v. Javier Ruedas, Respondent Javier Ruedas, Counter-Claimant v. Banc of America Investment Services, Inc., Counter-Respondent Case Number: 06-04210 Hearinq Site: Los Angeles, California Nature of the Dispute: Member v. Associated Person Associated Person v. Member REPRESENTATION OF PARTIES For Claimant/Counter-Respondent B

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Joseph Taylor Hinkley (Claimant) v. Reid & Rudiger, LLC, Cliff Ronald Reid, Edward Joseph Rudiger Jr., and Mark Harrison (Respondents) Case Number: 05-04867 Hearing Site: New Yori^, New York Nature of the Dispute: Associated Person vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant Joseph Taylor Hinkley, hereinafter referred to as "Claimant": Leon J. Greenspa

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-00869 Vision Securities, Inc. (Claimant) vs. Lewis Franklin and Stephen Woods (Respondents) ATTORNEYS: For Claimant Vision Securities, Inc. appeared Michael Nielsen, Vision Securities, inc., Melville, NY Respondent Stephen Woods appeared pro se, Franklin Square, NY NATURE OF DISPUTE: Member v. Associated Person DATE FILED: March 14, 2007 CASE SUMMARY: Claimant alleged that Responde

Award FiNRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-02362 Ruth-Anne Barden-Whitlow Name of the Respondent Hearinq Site: Norfolk, VA Citigroup Global Markets, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Ruth-Anne Barden-Whitiow, hereinafter referred to as "Claimant": Gregory S. Larsen, Esq., Roy, Larsen, Romm & Lascara, P.C, Chesapeake, VA. For Citigr

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Jeff Karnes Jeremy Voye Sarah Hedges Names of the Respondents Citigroup Global Markets Inc., f/k/a Salomon Smith Barney, Inc. Kevin Keating Jack Grubman Case Number: 03-08225 Hearing Site: Washington, D.C. Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Jeff Karnes, Jer

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Mark C. Quale, Claimant v. Merrill Lynch. Pierce. Fenner & Smith Incorporated, Respondent Case Number: 06-01674 Hearinq Site: Phoenix, Arizona Nature of the Dispute: Associated Person v. Member REPRESENTATION OF PARTIES For Claimant: Matthew W. Woodruff, Esq. Eppenstein & Eppenstein New York. New York For Respondent: Carol B. Trask. Esq. Amy Frisk, Esq. Rubin Fo

AWARD FINRA DISPUTE RESOLUTION In the Matter of the Arbitration Between: Jonathan Davies (Claimant) vs. Gilad Sartena (Respondent) Case Number: 06-04403 SITUS: New York, New York NATURE OF DISPUTE: Customer v. Associated Person. REPRESENTATION OF PARTIES: Jonathan Davies, hereinafter referred to as "Claimant" appeared pro se. Respondent Gilad Sartena did not enter an appearance in this matter. DATE FILED: October 3, 2006. CASE SUMMARY: Claim