AWARD FINRA DISPUTE RESOLUTION CASE: 05-00165 David E. Sherman (Claimant) vs. TD Waterhouse Investor Services, Inc. (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se, Brooklyn, NY. For Respondent appeared James J. Vihstadt, Esq., TD Waterhouse Investor Services, Inc., Bellevue, NE. NATURE OF DISPUTE: Customer v. Member DATE FILED: January 11. 2005 CASE SUMMARY: Claimant alleged that he incurred a loss when Respondent refused to pla

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Carol J. Friedman vs. Case Number: 08-01475 Hearing Site: Chicago. Illinois Names of Respondente Terra Nova Financial, LLC, Riverside Securities, inc., and Jordan Zero and Names of Cross-Claimants / Cross-Respondents Riverside Securities, inc. and Jordan Zero vs. Names of Cross-Respondent / Cross-Claimant Terra Nova Financial. LLC

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 08-02448 David L. SIgalow and Stephen D. Milbrath, Trustees 401(k)/Profit Sharing Plan & Trust fbr Employees of Allen, Dyer, Doppelt, Milbrath & Gilchrist, P.A. U/A Dtd 7/31/1971. f/b/o Herbert L. Allen. Ava K. Doppelt, Stephen D. Milbrath. Richard K. Warther. Michael W. Taylor. Cari M. Napolltano and Sandra K. Kemraj Hertsert L. A

Award FiNRA Dispute Resoiution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 08-01238 Morgan Stenley & Co., Inc. (fomieriy Morgan Stanley DW Inc.) Name ofthe Respondent Hearing Site: Tampa, FL James A. Fournace Nature ofthe Dispute: Member vs. Associated Pereon. REPRESENTATION OF PARTIES For Morgan Stanley & Co., Inc. (formeriy Morgan Stenley DW Inc.) ("Morgan Stanley), hereinafter referred to as "Claimant"

Award FINRA Dispute Resoiution In the Matter ofthe Arbitration Between: Name of the Claimant Case Number: 08-04465 Ruth Grafton Names of the Respondents Hearing Site: Oriando, FL Brookshire Securities, inc. Dawson James Securities, inc. Newbridge Securities Corp. Keith Carson Troy Goldberg Joe Canino MathewWaddell Timothy Ruggiero Nature of the Dispute: Customer vs. Member and Associated Pereon. REPRESENTATION OF PARTIES

Award FINRA Dispute Resolution In ttie Matter of the Art>ttrBtion Between: Name of ttie Clahnant Case Number 09-01007 Wachovia Securities, LLC Name of ttie Respondent Hearing Site: Los Angeles, California James Paul Hodgins Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claknant Wachovia Securities, LLC hereinafter refened to as "ClalmanT: Timothy N. Will, Esq., Albert & Will, LLP, Tonance, Cailfbmia Respond

Award FINRA Dispute Resolution In the Matter of the Arisitration Between: Name of ttie Claimant: Case Number 08-00801 National Alliance Capital, LLC Name of tiie Respondent: Hearing Site: Seattie, Washington Stephen Jencks Nature of the Dispute: Memt)er vs. Associated Person REPRESENTATION OF PARTIES Claimant National Alliance Capital, LLC hereinafter referred to as "Claimanf: John F. Redwine, Esq., Redwine Law Offices. Dallas. Texas Resp

Award FINRA Dispute Resolution in the Matterof the Ariaitration Between: Name of ttie Claimant Case Number. 08-01322 liene Graham Name of the Respondents Hearing Site: Los Angeles. Cailfbmia Stone & Youngberg, U.C, dba. Stone & Youngberg Asset Management, LLC, dba. Stone & Youngberg Financial Services Group, LLC, dba. Stone & Youngberg Holdings, LLC; and Michael Goodman Nature of the Dispute: Customer vs. Member and Associated Person

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number 08-04701 Paul Edwards Respondents Hearing Site: San Francisco, Calrfbmla Charles Schwab & Co.. Inc. Rupesh Shah Randall Wayne Meric Nature of the Dispute: Customer vs. Memt}er and Associated Persons REPRESENTATION OF PARTIES Claimant, Paul Edwards, hereinafter referred to as "Claimant": Richard Sacks and Irwin Stein, Investors Recovery Servic

Award FINRA Dispute Resolution In the Matter of tiie ArtJittation Between: Name of ttie Claimant: Case Number 08-02743 The 2000 Meinitzer Revocable Trust Name ofthe Respondents: Hearing Site: San Francisco, California Weils Fargo Investanents. LLC Michael W.Hobson Nature ofthe Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant The 2000 Meinitzer Revocable Tmst ("Meinitzer Trust") hereinafter referred to