FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-00784 Clyde Davenport ("Claimant") v. Monica M. Woods ("Respondent") ATTORNEYS: Claimant appeared PHD se, San Diego, CA. For Respondent appeared Andrew E. Bender, Esq., Memphis, TN. NATURE OF DISPUTE: Associated Person v. Customer DATE FILED: March 17, 2008 CASE SUMMARY: Claimant alleged that Respondent filed a false complaint against him resulting in him suffering personal and pro

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-02986 Option House, Inc. ("Claimant") v. Gregory Colley ("Respondent") ATTORNEYS: For Claimant appeared Lesley G. Smith, Esq., Schopf & Weiss LLP, Chicago, IL. Respondent Gregory Colley did not submit an Answer to the Statement of Claim. NATURE OF DISPUTE: Member v. Customer DATE FILED: August 25. 2008 CASE SUMMARY: Claimant alleged breach of the Customer Agreement and the other Ag

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Avi Warga (Claimant) vs. Bishop, Rosen & Co., Inc., Robert Rosen, and Isaac Schleslnger (Respondents) Case Number: 07-03346 Hearing Site: New Yorl^, New Yoric Nature of the Dispute: Associated Person vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant Avi Warga hereinafter referred to as "Claimant": Alan S. Fellheimer, Esq., Fellheimer and Eichen LLP, Philadelph

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 06-02610 Dr. Robert B. Richards and Estse L. Richards, C'CIaimants") vs. Wachovia Securities, LLC and Diego Alejandro Velasquez, ("Respondents") ATTORNEYS: ~ Claimarrts appeared pro 59, Pembroke Pines, FL. For Respondents appeared in-house counsel Deirdre Wotff, Esq., St. Louis, MO. NATURE OF DISPUTE: Customers v. i^lember and Associated Pereon DATE FILED: July 28. 2008 CASE SUMMARY

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Kathryn W. Miller (Successor Trustee to Lucile D. Wulff Trust) (Claimant) vs. Merrill Lynch Pierce Fenner & Smith, Inc., Nancy Kellog Gray, Ted Candella and Janet Elaine Bitner Caylor (Respondents) Case Number: 06-02419 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant The Lucile D. Wulff Trust

Award FINI^ Dispute Resolution In the Matter of the AriDitration Between: Names of the Claimante Case Number: 07-02251 Stephen D. Stubbs and Robin L. Stubbs Charies D. Stubbs and Jacqueline S. Stobbs Names of the Respondents Hearing Site: Oriando, FL Matthew Wilson John Means Nature of the Dispute: Customer vs. Associated Person. REPRESENTATION OF PARTiES For Stephen D. Stobbs, Robin L. Stobbs, Charies D. Stubbs, and Jacqueline S. Stobbs,

Award FiNRA Dispute Resoiution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 08-00376 Wachovia Securities, LLC Name of the Respondent Hearina Site: Raleigh, NC Martin D. IHensley Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTiES For Wachovia Securities. LLC C^achovla"), hereinafter referred to as "Claimant": Cliff G. Anderson, Esq., Michael, Ward & Rabinovitz, LLP, Boston, MA. Martin

Award FINRA Dlapute RMohitlon In the Matter of the Arbibation Bebween: NamaofthaCtolmante Thomas J. Bowen Case Number 07-03609 Name of the Reaoondente Hearing Site: Reno, Nevada Edward D. Jones, LLP Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant, Thomas J. Bowen: Kenneth J. McKenna, Esq.. Reno, Nevada Respondent, Edward D. Jones, UP: Edward A. Barfcei, Esq., Lewis and Roca LLP, PtK>enbc, Arizona CASE INFORM

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number 07-02892 OptionsHouse, Inc. Respondents Hearina Site: Denver, Colorado James Leonard Bateman James Leonard Bateman Roth Retirement Nature of the Dispute: Member vs. Customers REPRESENTATION OF PARTIES Claimant, OptionsHouse. Inc.. hereinafter referred to as "Claimant": Milnor H. Senior III. Esq.. Silvemian Law Firm, P.C, Englewood, Colorado Resp

STIPULATED AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Albert G. Watkins and Nancy M. Watkins vs. Names of Respondents Wedgewood Partners, Inc. and Anthony L. Guerrerio Case Number: 07-02217 Hearing Site: St. Louis, Missouri NATURE OF THE DISPUTE Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Albert G. Watkins and Nancy M. Watkins ("Claimants") were represented