AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Carl R. Lippert vs. Names of Respondents Woodbury Financial Services, Inc. and Eric Daniel Kondrit Case Number: 06-01436 Hearing Site: Pittsburgh, Pennsylvania NATURE OF THE DISPUTE Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Carl R. Lippert ("Claimant") appeared pro se. Woodbury Financial Services, Inc. ("Woodbury

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants David and Deborah Griffith on behalf of Andrew Griffith and Nicholas Griffith vs. Name of Respondent Ameriprise Financial Services, Inc. Case Number: 06-00904 Hearing Site: Minneapolis, Minnesota NATURE OF THE DISPUTE Customers vs. Member REPRESENTATION OF PARTIES David and Deborah Griffith on behalf of Andrew Griffith and Nicholas Griffith

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Thomas D. Christiansen and Stephanie Christiansen vs. Case Number: 06-00451 Hearing Site: Omaha, Nebraska Name of Respondent Securities America, Inc. NATURE OF THE DISPUTE Customers vs. Member REPRESENTATION OF PARTIES Thomas D. Christiansen and Stephanie Christiansen ("Claimants") were represented by Lawrence J. Klayman, Esq., Klayman & Toskes

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant James D. Stoker, II vs. Case Number: 05-05334 Hearing Site: Houston, Texas Name of Respondent Citigroup Global Markets, Inc. d/b/a/Smith Barney NATURE OF THE DISPUTE Associated Person vs. Member REPRESENTATION OF PARTIES James D. Stoker, II ("Claimant") was represented by Michelle Alcala, Esq. and Peter D. Kennedy, Esq., Graves Dougherty Hearon &

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Israel Kazew vs. Names of Respondents Weatherly Securities Corporation and David Drury Case Number: 05-04940 Hearing Site: Pittsburgh, Pennsylvania NATURE OF THE DISPUTE Customer vs. Terminated Member and Associated Person REPRESENTATION OF PARTIES Israel Kazew ("Claimant") was represented by Robert M. Kramer, Esq., Attorney at Law, Pitts

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: J.C. Bradford & Co., LLC, Claimant, Vs. John W. Greathouse, Jr., Respondent, Vs. Stephen Shea, Third-Party Respondent. Case Number: 99-02793 Hearing Site: Louisville. Kentucky REPRESENTATION OF PARTIES Claimant J.C. Bradford & Co., LLC ("Bradford"): Douglas M. Hagerman and Mollie Pawlosky, Foley & Lardner, Chicago, Illinois Respondent

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Dennis Bruer vs. Case Number: 05-04701 Hearing Site: Milwaukee, Wisconsin Names of Respondents Genworth Financial Securities Corporation, f/k/a Terra Securities Corporation, Hochman & Baker Securities, Inc. and Denis Alan Poffenberger NATURE OF THE DISPUTE Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Denn

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Thomas G. Cain and Patricia Jones Cain, Charles D. Snyder and Marilou Snyder, and Ronald Shall and Jerry L. Shall vs. Case Number: 04-08770 Hearing Site: Dallas, Texas Names of Respondents Securities America, Inc., Robert P. Gormly, Jr., Securities America Advisors, Inc., and The Gormly Company NATURE OF THE DISPUTE Customers vs. Member

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Elizabeth and Charles Gosser vs. Case Number: 00-03131 Hearing Site: Chicago, Illinois Names of Respondents Merrill, Lynch, Pierce, Fenner & Smith, Inc. and Steven K. Porter NATURE OF THE DISPUTE Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Elizabeth and Charles Gosser ("Claimants") were represented by Paul Sussman, Esq.

Amended Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Robert J. Cavalleri Wames of the~RespDndents Edward D. Jones & Co. L.P. d/b/a Edward Jones Thomas Howell, JH Case Number: 04-08280 Hearing Site; BecfrRaten, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Robert J. Cavalleri, hereinafter referred to as "Claimant," appeared pro se.