FINRA Awards for ENTERED IN ERROR

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Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
07-01272	11/11/2009	Claimant(s): Billy House, Curley Bernard, David Gallien, George Terry, Gordie Greening, Gregory Bonnett, Judy Casey, Linda Corley, Michael Gilcrease, Roger House Claimant Lawyers(s): Lee Bowie Respondent(s): ENTERED IN ERROR, Gregory Hildebrand, Peter Dahlstrom, Intersecurities. Respondent Lawyers(s): Burton W. Wiand, Katherine C. Donlon, Lee Bowie Arbitrator(s): Nicole T. LeBoeuf, James W. Kerr, Larry N. Quinn Hearing Site: Dallas, TX		Dismissed by Rule 12206
03-09085	03/31/2008	Claimant(s): Fred Lowenschuss, Laurance Lowenschuss, ENTERED IN ERROR, Alan Lowenschuss Trust UAD 1/24/89, Edward Lowenschuss Trust UAD 1/24/89 Claimant Lawyers(s): Edward Lowenschuss, Fred Lowenschuss Respondent(s): Sanford I. Weill, Citigroup Global Markets., Jack B. Grubman, John Hoffmann, Joseph Friedman, Kevin McCaffrey, Robert Waldman Respondent Lawyers(s): William F. Alderman Arbitrator(s): Michael W. Burnett, Erik R. Siering, Arthur T. Berggren Hearing Site: Los Angeles, CA		Stipulated Award and Expungement