FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-00817 Citigroup Global Markets Holdings, Inc. and Citigroup Global Markets, Inc. d/b/a Smith Barney, ("Claimants") vs. William D. Evans, ("Respondent") ATTORNEYS: For Claimants appeared Gregory R. Crochet, Esq., of the firm Kutak Rock LLP, Atianta, GA. Respondent did not submit an Answer to the Statement of Claim. NATURE OF DISPUTE: Member and Non Member v. Associated Person DATE F

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 06-04813 David Benoit Alan Chepenik Name of the Respondent Hearing Site: Orlando, FL John A. Lang, Jr. Nature of the Dispute: Associated Person vs. Customer. REPRESENTATION OF PARTIES For David Benoit and Alan Chepenik, hereinafter collectively referred to as "Claimants": Terrance A. Bostic, Vice President and Associate Corporate Coun

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants 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 Jason A. Wands Case Number: 06-04542 Hearing Site: Raleigh, North Carolina Nature of the Dispute: Non-Member and Member v. Associated Person. REPRESENTATION OF PARTIES

Stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-07616 Darren P. Gryniuk Names of the Respondents Hearinq Site: Washington, D.C. Citigroup Global Markets Inc., f/k/a Salomon Smith Barney, Inc. Kevin Keating Jack Gmbman Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Darren P. Gryniuk, hereinafter referred to as "Claiman

AWARD FINIRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Gerry Kessler vs. Case Number: 07-00397 Hearing Site: St. Louis, Missouri Name of Respondent Fifth Third Securities, Inc. NATURE OF THE DISPUTE Customer vs. Member REPRESENTATION OF PARTIES Gerry Kessler ("Claimant") was represented by Howard W. Hirschhorn, CPA, Matawan, New Jersey. Fifth Third Securities, Inc. ("Fifth Third" or "Respondent

AWARD FINRA Dispute Resolution In the Mafter of the Arbitration Between: Name of Claimant Amy A. Bakowski vs. Case Number: 06-03551 Hearing Site: Southfield, Michigan Names of Respondents Leonard & Company, James W. McLellan, McLellan Capital, Broad Street Securities, Inc., and ING USA Annuity and Life Insurance Company NATURE OF THE DISPUTE Customer vs. Members, Non-Members, and Associated Person REPRESENTATION OF PARTIES Amy A.

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 07-00273 Stanley D. Legum Name of the Respondent Hearing Site: Norfolk, Virginia Citigroup Global Markets, Inc. Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Stanley D. Legum, hereinafter referred to as "Claimant", appeared pro se. For Citigroup Global Markets, Inc., hereinafter referred to as "Respondent"

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Shiriey Jean Jones Smith R. Alex Smith Names of the Respondents Edward D. Jones & Company Putnam Retail Management, LLP Fred Porter Case Number: 05-04107 Hearing Site: Jackson, Mississippi Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Shiriey Jean Jones Smith and R. Alex Smith, hereinaf

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 05-02554 Frances A. Heaton Name of the Respondont Hearing Site: New Orieans, Louisiana Hibernia Investments, LLC Nature of the Dispute: Customer v. Member. REPRESENTATION OF PARTIES For Frances A. Heaton ("Heaton"), hereinafter referred to as "Claimant": Kirk Reasonover, Esq., Reasonover & Olinde, LLC, New Orieans, Louisiana. For Hibern

Award FINRA Dispute Resolution In the Mafter of the Arbitration Betweisn: Stanley Quelle (Claimant) vs. Ehrenltrantz King Nussbaum, Inc. (Respondent) Case Number: 06-02688 Hearing Site: New Yorl< , New York Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Stanley Quelle, hereinafter referred to as "Claimant": Tracey S. Bernstein, Esq., Himmel & Bernstein, LLP, New York, NY. Respondent Ehrenkrantz King Nussbaum,