Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Murphy & Durieu LLP (Claimant) vs. Penson Financial Services, Inc., Hamershtag, Dodeles & Co., LLC, David E. Dodeles, Cindy Dodeles, and Louis Cesario (Respondents) vs. Bear Stearns & Co., Inc., and RBC Dain Rauscher Inc. (Third Party Respondents) Case Number: 07-02662 Hearing Site: New York, New York Nature of the Dispute: Memt)er vs. Associated Persons and Member. REPRESENTATI

Award FINRA Dispute Resolution In the Matter of the Ari^itration Between: Wachovia Securities, LLC (Claimant) vs. Gregory Ricker (Respondent) Case Number: 08-01606 Hearino Site: Philadelphia, Pennsylvania Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant Wachovia Securities, LLC hereinafter referred to as "Claimant": Renan I. Sugarman, Esq., Renan Sugarman, P.C, Chicago, IL. Respondent Gregory Ricker hereinafter r

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 08-03651 Joseph Gorman Names of the Respondents Hearing Site: Boca Raton, FL Morgan Stanley & Company, Inc. f/k/a Morgan Stanley DW, Inc. Mary Grace Meeker Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Joseph Gorman, hereinafter refen^ to as "Claimanf: Randall C. Place, Esq., The

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Gary L. Wilhelm, IRA vs. Name of Respondent Charies Schwab & Company, Inc. Case Number. 08-02118 Hearing Site: Minneapolis, Minnesota NATURE OF Customer vs. Member REPRESENTATION OF PARTIES Gary L. Wilhelm, IRA ("Claimant") was represented by Michael S. MacDonald, Esq., Michael S. MacDonald Law Office, St. Paul, Minnesota. Charles Schwab & Co

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Pennie L. Roberts, Individually and as Trustee of the Pennie L. Roberts Revocable Trust, and Craig Roberts vs. Case Number: 08-00029 Hearing Site: Cincinnati, Ohio Names of Respondents Wachovia Securities, LLC. Scottrade, Inc., and Patrick Sowers NATURE OF THE DISPUTE Customers vs. Members and Associated Person REPRESENTATION OF PARTIES

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Edward A. and Phyllis J. Garabedian vs. Case Number: 04-04964 Hearing Site: Detroit, Michigan Names of Respondents Citigroup Global Markets, Inc. f/k/a Salomon Smith Bamey, Inc. and Jack B. Gmbman Customers vs. Member and Associated Person Edward A. and Phyllis J. Garabedian ("Claimants") were represented by William B. Young, Esq., Colling, Gilbert

Award FINRA Dispute Reaolutlon in the Matter of the Arbitration Between: Name of the Claimant: The Estate of Mary A. Musll Case Number: 08-01002 Name of the Respondents: Wachovia Securities, LLC A.G. Edwards & Sons, Inc. Prudential Equity Group, LLC Wells Fargo Securities, LLC Pnjdential-American Securities, inc. Hearino Site: San Francisco, Califomia Nature of the Dispute: Customer vs. Members REPRESENTATION OF PARTIES Claimant T

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant: Case Number: 08-01488 Matthew Van Thoumout Name of the Respondent: Hearina Site: Boca Raton, Florida vFinance Investments, inc. Nature of the Dispute: Associated Person v. Member. REPRESENTATION OF PARTigS For Matthew Van Thoumout, hereinafter referred to as "Claimant": Peter V. Fuilerton, Esq., Douglas J. Jeffrey, Esq., and Miguel A. Bri

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 08-00489 John Francesconi Names of the Respondents Hearing Site: Richmond, VA Dixon David Handwert^ Michael James Thaler Nature of the Dispute: Customer vs. Associated Person. REPRESENTATION OF PARTIES For John Francesconi, hereinafter referred to as "Claimant": Alice Stewart, Esq., Duquesne University Law School, Pittsbur

Award FINRA Dispute Resolution In the Matter of the Arisitration Between: Names of the Claimants Case Number: 08-01140 Dennis Contois, Individually and as Tmstee of the Contois Living Trust Jane Contois as Trustee of the Contois Living Trust Rose Contois Name of the Respondent Hearina Site: Oriando, FL Morgan Keegan & Company. Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Dennis Contois, Individual