FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-02275 Calvin MehuFon, ("Claimant") vs. Charles Schwab & Co., Inc., ("Respondent") ATTORNEYS: For Claimant appeared William B. Young, Jr., Esq., of the firm Coting Gilbert Wright & Carter, Orlando, FL. For Res|»>ndent appeared Evelyn A. Christensen, Esq., of the fimn Keesal, Young & Logan, San Francisco, CA. NATURE OF DISPUTE: Customer vs. Member DATE FILED: July 2, 2008 CASE SU

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-01853 Morton & Edith Kimmel Rev. Living Trust, Morton Kimmel & Edith Kimmel, Trustees ("Claimant") vs. Kenneth Saunders and Investors Capital Corp. ("Respondents") ATTORNEYS: For Claimant appeared Morton Kimmel, Delray Beach, FL. For Respondents appeared James A. McGovern, Esq., Marshall, Dennehey, Warner, Coleman & Goggin, P.C. Pittsburgh, PA. NATURE OF DISPUTE: Customer v. Member and

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants: Case Number: 08-00040 Cecilia Greenberg Milton Greenberg Names of the Respondents: Hearing Site: Boca Raton, Florida Jefferson Pilot Securities Corporation Patrick Stevenson Gaines Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Cecilia Greenberg and Milton Greenberg, hereinafter collecti

Award FINRA Dispute Resolution In the Matter of the Art3itration Between: Name of the Claimant Case Number 08-01936 Dale Edward Wright Name of the Respondent Hearino Site: Richmond, VA Joan G. Eades Nature of the Dispute: Associated Person vs. Customer. REPRESENTATION OF PARTIES For Dale Edward Wright, hereinafter referred to as "Claimant": Geny Kowalski, Esq.. Marshall, Dennehey. Warner, Coleman, & Goggin, Philadelphia, PA. Respondent Joan

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Jack Ommert vs. Names of Respondents Raymond James Financial Services, Inc., Rydex Distributors, Inc., and Eric L. Jansson and Name of Third-Partv Claimant Raymond James Financial Services, Inc. vs. Names of Third-Partv Respondents JFB Planning Services, Inc. and James F. Bottoms, Sr. Case Number: 08-00060 Hearing Site: Detroit, Mich

Award FINRA Dispute Resolution In the Matter of the Attitration Between: Name of the Claimant Case Number 07-00350 Jose E. Caiz, IRA Name of the Respondent Hearing Site: San Frandsco, CA Citigroup Global Maricets, Inc. Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant Jose E. Cmz, IRA, hereinafter rsfsrred to as "Claimant": Thomas D. Mauriello, Esq., Law Offices of Thomas D. Mauriello, San Clemento, Caiifomla Resp

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants 1'* Security Assurance, Inc. Amerifirst National Financial, LLC Timothy O. North Names of the Respondents Peal< Securities Corporation Amber D. Cushing David W. Dube Name of Third Party Respondent John J. Pennachio Case Number: 07-02624 (consolidated with 07-03559) Hearing Site: Clearwater, Florida In the Matter of the Arbitrat

Awnrd RNRA DIsputo RMohitlon In the Matter of the Arbitration Between: Nante of the Claimants Sterling Casualty insurance Company; and H & H AgerKy, Inc.; and D & H Claims Sen/Ices, Ina Case Number 07-01108 Name of the Respondents Bear Steams & Co., Inc. n/k/a J.P. Morgan Securities, Inc.; and CIBC Worid Maricets Corp.; and Wachovia Securities, LLC; and Oppenheimer& Co., Inc.; and Michael Hofaney Hearing Site: Los Angeles, Ca

stipulated Award FINRA Dispute Resolution In the Matter of the Artjitration Between: Name of the Claimant Case Number: 07-03387 Marilyn Bloch Name of the Respondents Hearing Site: Boca Raton, Florida Distinctive Financial Service Teresa DiLorenzo LPL Financial Services Linsco/Private Ledger Lincoln Financial Group Nature of the Dispute: Customer vs. Member, Non-Member and Associated Person. REPRESENTATION OF PARTIES Marilyn Bloch, he

AWARD FiNRA Dispute Resoiution In the Matter of the Arbitration Between: Names of Claimants Steven Cole and Anat Cole vs. Names of Respondents GunnAllen Financial, Inc., Ryan Shaw, and Barry Goldstein Case Number: 07-02937 Hearing Site: Southfield, Michigan NATURE OF THE DiSPUTg Customers vs. Member and Associated Persons REPRESENTATION OF PARTIES Steven Cole and Anat Cole ("Claimants") were represented by Anthony V. Trogan, Esq.