Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-03795 David Luther Name of the Respondent Hearinq Site: Nashville, Tennessee Chicago Investment Group, LLC Nature of the Dispute: Customer v. Member. REPRESENTATION QF PARTIES For David Luther, hereinafter referred to as "Claimant": Seth E. Lipner, Esq., Deutsch & Lipner, Garden City, New York. For Chicago Investment Group, LLC, here

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Marge Hartunian as Trustee of the Hartunian Family Tmst UTD 3/8/95 and William Marshall, Claimants v. Wedbush Morgan Securities, Inc., Respondent Wedbush Morgan Securities, Inc., Counter-Claimant v. Marge Hartunian and William Marshall, Counter-Respondents Case Number: 06-00118 Hearing Site: Los Angeles. California Nature of the Dispute: Customers v. Member Member v. Customers

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-04623 Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. Name of the Respondent Hearing Site: Tampa, Florida Christopher McAdoo Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc., hereinafter referred to as "Claimant": Andre R

Third Amended Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 05-05101 Uzi Barany Nechama Goldblat Names of the Respondents Hearinq Site: Boca Raton, Florida Sands Brothers & Co., Ltd. Steven Sands John Telfer Leila Shuminer William A. lommi, Sr. Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Uzi Barany ("Barany") and Nec

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Mildred Markowski, Claimant v. Neil Adieberg, Christopher Hardy Davis, Scott Albert Grebenstein, Mary-Ann Princinsky, William Taylor Skinner, Jr., Bonnie Bressler Stein, Jennifer Elizabeth Vollmer, Respondents Case Number: 07-01278 Hearinq Site: Las Vegas, Nevada Nature of the Dispute: Customer vs. Associated Persons REPRESENTATION OF PARTIES Claimant Mildred Markows

stipulated Award FINRA Dispute Resoiution In the Matter of the Arbitration Between: James Rusciano (Claimant) vs. Merrill Lynch Pierce Fenner & Smith, Inc., UBS Financial Services, Inc, and John M. Busco (Respondents) Case Number: 06-02395 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Members and Associated Person. REPRESENTATION OF PARTIES Claimant James Rusciano, hereinafter referred to as "Claimant": Larry Kars, Esq., Law O

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Case # 05-05681 Granite Associates, Inc. (Claimant) vs. Richard James Coleman (Respondent) consolidated with Case # 05-05683 Granite Associates, Inc. (Claimant) vs. Michael Resciniti (Respondent) consolidated with Case # 05-05684 Granite Associates, Inc. (Claimant) vs. Thomas John Tedeschi (Respondent) consolidated with Case # 05-05685 Granite Associates, Inc. (

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: James and Mary Gailen, Claimants v. Morgan Stanley DW Inc. and Thomas N. Marinshaw, Respondents Case Number: 06-00784 Hearinq Site: San Francisco, California Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES For Claimants: Richard Sacks Securities Arbitration Consultant Novato, Califomia For Respondents: Aaron L. Danzer Morga

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Linda G. Bak, Cindy C. Chlu, Buri^e A. Dambly, Robert A. Homing, Corbin S. Thomas. Troy Thomas, and James M. Walsh, Claimants v. MCL Financial Group, Inc., Upton Financial Services, Inc., and Michael B. Upton, Respondents MCL Financial Group, Inc., Upton Financial Services, Inc., and Michael B. IJpton, Counter- Claimants V. Linda G. Bak, Cindy C. Chiu, Burke A. Dambly, Robert A. Hornin

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: John Mera, Claimant v. Morgan Stanley DW Inc., Respondent Case Number: 06-04173 Hearinq Site: San Francisco, California Nature of the Dispute: Associated Person v. Member REPRESENTATION OF PARTIES For Claimant: Douglas W. Oldfield, Esq. Oldfield & Creely, LLP Carmel, California For Respondent: Jeffrey Silverman, Esq. Morgan Stanley DW Inc. San Francisco, California