stipulated Award FINRA Dispute Resolution In the Matter of the Aril)itratlon Between: Name of the Claimant Case Number 07-01395 Wachovia Securities, LLC Name of the Respondent: Hearing Site: Seattle, Washington David P. Thomas Name of Counter-Claimant David P. Thomas Name of Counter-Respondent Wachovia Securities, LLC Nature of Dispute: IMember vs. Associated Person Associated Person vs. Member REPRESENTATION OF PARTIES Claimant/

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Eddie Miller vs. Case Number: 08-00980 Hearing Site: Cincinnati, Ohio Names of Respondents PNC Investments, Inc., James Popp, Donna Haynes, Sally Weinkam. and Susan Meyers Associated Person vs. Member and Associated Persons Eddie Miller ("Claimant") was represented by Kenneth W. Scott, Esq.. Florence, Kentuclcy. PNC Investments, inc. ("PNC"), Ja

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants/Counter-Respondents Regal Securities, Inc. and J.P. Turner and Company, LLC vs. Case Number: 07-03337 Hearing Site: Chicago, lilinols Name of Respondent/Counter-Ciaimant Inteiligentias, Inc. NATURE OF THE DISPUTE Members vs. Non-Member REPRESENTATION OF PARTIES Regal Securities, Inc. ("Regal") and J.P. Tumer and Company. LLC (JP Turner), h

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Sidney Chertock (Claimant) vs. TD Ameritrade, Inc. (Respondent) Case Number: 08-00299 Hearing Site: New York, New York consolidated with Sidney Chertock (Claimant) vs. TD Ameritrade, Inc. (Respondent) Case Number: 08-01260 Hearing Site: New York. New York Nature of the Dispute 08-00299: Customer vs. Member. Nature of the Dispute 08-01260: Customer vs. Member. REPRESENTATION

stipulated Award FiNRA Dispute Resolution In the Matter of the Arbitration Between: Fidelity Brokerage Services LLC (Claimant) vs. Joseph Downey, Timothy P. McParland, Jeffrey Myers and Long Island Wealth Management. Inc. d/b/a Myers Asset Management (Respondents) Case Number: 08-01218 Hearino Site: New York. New York Nature of the Dispute: Member vs. Associated Persons and Non-Member. REPRESENTATION OF PARTIES Claimant Fidelity Brokerage Services L

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Alfred T. Peng and Diana Peng (Claimants) v. David L. Gabay, Pinnacle Planning Group, Keyport Financial Services Corp.. Keyport Life Insurance/Sun Life Insurance, Sun Life Financial Distributors, Inc., Lincoln Financial Group. Lincoln Financial Distributors. Inc.. Mainstay Funds/New York Life Trust, Mutual Service Corporation, Royal Alliance Associates Inc., The Best of America, First

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 07-02484 Banc of America Investment Services, Inc. Name of the Respondent Hearing Site: Charlotte, North Carolina Steven T. Day Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Banc of America Investment Services. Inc. ("BOA"), hereinafter referred to as "Claimant": David H. Smith, Esq. and Diane C. Fischer

AWARD FINRA Dispute Resolution In tile Matter of ttie Arbitration Between: Name of Claimant Maria 8. Alcoreza vs. Case Number: 07-03578 Hearing Site: Southfield, Mictiigan Name of Respondent Leonard Financial Corporation d/b/a Leonard & Company Customer vs. Member ITATION OF Maria B. Alcoreza ("Claimant") was represented by Bruce D. Oakes, Esq., Simmons Cooper LLC, East Alton, Illinois. Leonard Financial Corporation d/b/a Leonard

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Walter A. Flick & Judith R. Flicl^, JTWROS vs. Case Number: 07-03128 Hearing Site: Cincinnati, Ohio Names of Respondents Kovack Securities, Inc. and Russell Dean Stansell NATURE OF THE DISPUTE Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Walter A. Flick & Judith R. Flick, JTWROS ("Claimants") were represented by David S

AWARD FiNFiA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Jerome Albert Trust UAD 10/23/1986 vs. CaseNun^ber: 08-00863 IHearing Site: Chicago, Illinois Name of Respondent E*Trade Securities LLC Customer vs. Member REPRESENTATION OF PARTIES Jerome Albert Trust UAD10/23/1986 ("Claimant") was represented by John J. Muldoon, III. Esq., Muldoon & Muldoon, PC, Chicago, Illinois, as of on or about June 30, 2008.