Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Albert Vacchiano (Claimant) vs. Freedom Holding Group, LLC. Amerivest Partners, LLC and Bay Crest Partners, LLC (Respondents) Case Number: 08-01592 Hearing Site: New Yori^, New York Nature of the Dispute: Associated Person vs. Non-Member and Members. REPRESENTATION OF PARTIES Claimant Albert Vacchiano hereinafter referred to as "Claimant": Kathleen Peratis. Esq., Outten & Golde

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-03203 The Larry S. Liederman Living Trust, ("Claimant"') vs. Foliofn Investments, Inc., ("Respondent") ATfORNEYS: Claimant appeared Pro se, San Francisco, CA. For Respondent appeared Michael J. Hogan. Vienna, VA. NATURE OF DISPUTE: Customer v. Member DATE FILED: September 9, 2008 CASE SUMMARY: Claimant alleged misrepresentation and omission of facts. Claimant maintained that as

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-04105 Oppenheimer& Co., Inc., ("Claimant") vs. Lenny Dykstra, ("Respondent") ATTORNEYS: For Claimant appeared Raquel Terrigno, Esq., In-house Counsel, New Yoric, NY. Respondent Lenny Dykstra did not submit an Answer to the Statement of Claim. NATURE OF DISPUTE: Member vs. Customer DATE FILED: November 6, 2008 CASE SUMMARY: Claimant alleged that Respondent has refused to repay the balan

FiNRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-04189 Charies Hunter Branch (Estate) Represented by William Todd Branch, Executor/Trustee, ("Claimant") vs. Kent Sheridan Greenway and H. Beck, Inc., ("Respondents") ATTORNEYS: For Claimant appeared Pro se, Chesterfield, VA. For Respondents appeared Matthew Tracy. Esq., Winget, Spadafora & Schwartzberg, LLP, NewYoric, NY. NATURE OF DISPUTE: Customer v. Member and Associated Person

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Mary Cliristina Colunga vs. Case Number: 07-02813 Hearing Site: Houston, Texas Names of Respondents GunnAllen Financial, Inc., Andrew J. Longoria, and LRS Investments and Counter-Claimant Andrew J. Longoria vs. Counter Respondent Mary Christina Colunga and Third-Party Claimant / Counter-Respondent Andrew J. Longoria v

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants Case Number 04-00772 Isabellta Nopuente 0B1 Lto. Name of the Respondents Hearlno Site: San Francisco, Califomia IH.D. Vest Investment Services Wallstreet Electronica, Inc. Comellus Yongkay Choy Nature of the Dispute: Customers vs. Memt>ers and Associated Person REPRESENTATION OF PARTIES Claimants, Isabeiita Nopuente and 0B1 Ltd., hereinafter co

Award FINRA DIapute Reaolutlon In the Matter of the Arbttration Between: Claimant Case Number: 08-01749 Morgan Stenley & Co.. Incorporated Respondent Hearing Site: Dallas. Texas Van Washington Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant, Morgan Stenley & Co. Incorporated hereinafter referred to as "Claimant": Philip J. CampisI, Jr., Esq., Westemnan Ball Ederer Miller & Sharfetein. LLP, Mineola. NewY

Award FINRA DIapute Reaolutlon In the Matter of the Art)ttration Between: Name of the Claimant: Timothy E. Sullivan Name of the Respondent: Advanced Equtties, Inc. Name of the Counter-Claimant: Advanced Equtties, Inc. Name of the Counter-Respondent: Timothy E. Sullivan Case Number 07-01972 Hearing Stte: San Francisco, Caittdmia Nature of the Disputes: Associated Person v. Memt)er Member v. Associated Person REPRESENTATION

Award FINRA DIapute Resolution In the Matter of the Arbitration Between: Name of the Claimant: Case Number. 08-00453 Wells Fargo Investments, LLC Name of the Respondent: Hearing Site: Los Angeles, California William R. Winston Name of the Counter-Claimant: William R. Winston Name of the Counter-Respondent: Wells Fargo Investments, LLC Nature of the Disputes: Member vs. Associated Person Associated Person vs. Member REPRESENTATION

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Pana l\^erchant vs. Case Number: 08-00381 Hearing Site: St. Louis, Missouri Name of Respondent Merrill Lynch Pierce Fenner & Smith, Inc. NATURE OF THE DISPUTE Customer vs. Member REPRESENTATION OF PARTIES Pana Merchant ("Claimant" or "Merchant") was represented by Matthew Clement, Esq., Cook, Vetter, Doerhoff and Landwehr, Jefferson City, Missou