FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-02037 Jessie E. Goff ("Claimant") vs. David Cronan, A.G. Edward & Sons, Inc., and Wachovia Securities, LLC ("Respondents") ATTORNEYS: Claimant appeared Pro se, Versailles, KY. For Respondents appeared Steven L. Satter, Esq., In-house Counsel, Wachovia Securities, LLC, St. Louis, MO. NATURE OF DISPUTE: Customer v. Member and Associated Person DATE FILED: June 20, 2008 CASE SUMMA

FiNRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-01807 Richard Neat Poss ("Claimant") vs. Delta Equity Services Corp. ("Respondent") ATTORNEYS: Claimant appeared Pro se. Marietta, GA. For Respondent appeared Scott Aubrey, In-house Counsel, Boston, MA. NATURE OF DISPUTE: Associated Person v. Member DATE FILED: June 4, 2008 CASE SUMMARY: Claimant alleged commissions owed and unjustly withheld. Claimant further alleged lack of super

RNRA OlSPlfTE RESOLUTION AWARD RNRA DISPUTE RESOLUTION CASE: 08-03204 Paul Randle, Morgan Randle and John Randle, ("Claimants") vs. Citigroup Global Markets, Ina and Howard WSBam Bumett, ("Respondents') ATTORNEYS: Claimants appeared pro se, Plymouth, Ml. For Respondents appeared in-house counsel Douglas Appel, Esq., New York. NY. NATURE OF DISPUTE: Customers v. Member and Associated Person DATE FILED: September 4,2008 CASE SUMMARY: Claimants all

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-02702 Lorraine C. Ross, ("Clalmanf) vs. John Marie Forney, CRespondent") ATTORNEYS: Claimant appeared pro se, Folsom, CA. For Respondent appeared Chad Weaver. Esq.. of the flmn Edgerton & Weaver, LLP, Hermosa Beach, CA. NATURE or DISPUTE: Customer vs. Associated Person DATE FILED: July 30,2008 CASE SUMMARY: Claimant alleged that Respondent breached his fiduciary du^ by misrepre

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-02733 Option hiouse, Inc. ("Claimant") v. Robert Taddeo ("Respondent") ATTORNEYS: For Claimant appeared Lesley G. Smith, Esq., Schopf & Weiss LLP, Chicago, IL. Respondent appeared Pro se, Southington, CT. NATURE OF DISPUTE: l^emberv. Customer DATE FILED: August 5. 2008 CASE SUMMARY: Claimant alleged breach of the Customer Agreement and the other Agreements as a result of Respondent

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number 04-00980 Allen Paulson Living Tnjst Respondent Hearing Site: San Diego, California J.P. Morgan Securities, Inc. Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant. Allen Paulson Living Tmst, hereinafter refen^d to as "Claimant": Steve Buchwalter, Esq., Law OfTices of Steve A. Buchwalter, P.C, Encino, California and David B

Award FINRA Dispute Resolution In the Matter of the AriDitration Between: Name of the Claimant Case Number: 08-01254 Andrew E. Hoh, individually and as custodian for the Andrew E. IHoh IRA Name of the Respondent Hearing Site: Raleigh, NC Ameriprise Financial Services, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Andrew E. IHoh, individually and as custodian for the Andrew E. Hoh IRA, hereinafter refen-ed to

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 08-00976 Jason L. Reitelman Name of the Respondent Hearing Site: Boca i^ton, Florida Noble international Investments. Inc. Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES For Jason L. Reitelman, hereinafter referred to as "Claimant": Richard A. Stephens, Esq., The Law Office of Richard Stephens, Boca Raton, Fl

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Ernest C. Pierson and Ernest C. Plerson IRA vs. Names of Respondents Morgan Stanley DW Inc., and Arthur Neal Sherman Case Number. 06-05044 Hearing Site: Minneapolis. Minnesota Customers vs. Member and Associated Person Ernest C. Pierson and Ernest C. Pierson IRA ("Claimants") were represented by Lewis A. Remele, Jr., Esq., Bassford Remeie, Min

stipulated Award FINRA Dispute Resolution In the Matter of the Arisitration Between: Nanne of the Claimant Case Number: 07-01863 Gregory R. Riordan Name of the Respondent Hearing Site: Boca Raton, Florida IFMG Securities, Inc. Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES For Gregory R. Riordan, hereinafter referred to as "Claimant": Bradford M. Gucciando. Esq., Scariett & Gucciardo. P.A., Delray Beach, Florida.