Stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Abdallah Abdallah (Claimant) vs. Merrill Lynch, Pierce, Fenner & Smith, Citigroup Global Markets, Inc., Salomon Brothers, Inc., f/k/a Salomon Smith Barney, Inc., and Edward Michael Skarbnik (Respondents) Case Number: 05-00842 Hearing Site: Newark, New Jersey Nature of the Dispute: Customer vs. Members and Associated Person. REPRESENTATION OF PARTIES Claimant Abdallah

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Kayvan Karoon (Claimant) vs. First Montauk Securities Corp. (Respondent) Case Number: 07-02690 Hearing Site: Newark, New Jersey Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Kayvan Karoon hereinafter referred to as "Claimant": George Brunelle. Esq.. Brunelle & Hadjikow, P.C, New York. NY. Previously represented by Paul A. Lieberman, Esq

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-01005 Stephen Harrison, Peter Helms and Exeter Financial LLC ("Claimants") vs. The Shemano Group, Inc. ("Respondent") ATTORNEYS: For Claimants appeared James K. Barbae. Esq.. Golbeck Roth, PLLC, Seattle, WA. For Respondent appeared Douglas Hale, San Francisco, CA. NATURE OF DISPUTE: Associated Persons and Customer v. Member DATE FILED: April 4, 2008 CASE SUMMARY: Claimants alleged

FINRA DISPl TK RESOLL'TIO.N AWARD FINRA DISPUTE RESOLUTION CASE: 08-00544 WestPark Capital, Inc. ("Claimant") vs. Chanse Keith Menendez. Sr. ("Respondent") ATTORNEYS: For Claimant appeared William A. Morgan, Los Angeles, CA. Respondent Chanse Keith Menendez, Sr., did not submit an Answer to the Statement of Claim. NATURE OF DISPUTE: Member vs. Associated Person DATE FILED: February 20. 2008 CASE SUMMARY: Claimant alleged that Respondent owes exp

Award FINRA Dispute Resolution in the Matter of the Arbitration Between: Name of the Claimant Case Number: 07-01743 General Investments, Inc. Name of the Respondent Hearing Site: Tampa, Florida T.D. Ameritrade, Inc., a/k/a T.D. Waterhouse Investor Services, Inc. Nature of the Dispute: Customer vs. Member. For General Investments, Inc., hereinafter referred to as "Claimant": Thomas D. Jacl^son, President, General Investments, Inc., Panama City, F

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 08-00377 Michael J. Preston Names of the Respondents Hearing Site: Raleigh. NC David Bass Arena Capital Advisors. LLC Nature of the Dispute: Associated Person vs. Member and Associated Person. REPRESENTATION OF PARTIES Michael J. Preston, hereinafter referred to as "Claimant", appeared pro se. For Respondents David Bass ("Bass") and Are

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number 08-00112 Brandon Henry Name of the Respondent Hearina Site: Denver, Colorado Cascade Financial Management, Inc. Nature of the Dispute: Associated Person vs. Member REPRESENTATION OF PARTIES Claimant, Brandon Henry, hereinafter refen^d to as "Claimanf: Merit J. Appleton. Esq., Mosley, Busser & Appleton, P.C., Derwer, Colorado Respondent,

Award FINRA Dispute Resoiutlon In the Matter of the Arbitration Between: Names of the Claimants Case Number: 08-00315 Aubrey Wright Martha Wright Name of the Respondent Hearing Site: Atlanta, Georgia Morgan Keegan & Company, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Aubrey Wright ("A. Wright") and Martha Wright ("M. Wright"), hereinafter collectively refenred to as "Claimants": Andrew Stoltmann, Esq.. Sto

AWARD FINRA Dispute Resolution in the Matter of the Arbitration Between: Name of Claimant A.G. Edwards & Sons, Inc. vs. Case Number: 07-02742 Hearing Site: St. Louis, Missouri Names of Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc., Richard V. Marcolla, Robert D. Bany, Thomas Cutrene, Krista Savage, Joyce Glanzman. Karen Loeschen, Gene Harehman, and William R. Easteriing, Jr. NATURE OF THE DISPUTE Customer vs. Member and Ass

AWARD FINI^ Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Thomas A. Follmer and Bernice Foilmer vs. Case Number: 08-00251 Hearing Site: Minneapolis, Minnesota Names of Respondents ProEqulties. Inc.. Bradley John Freimark, Safe Harbor Retirement Solutions, LLC. and Allianz NATURE OF THE DISPUTE Customers vs. Member. Associated Person, and Non-Members REPRESENTATION OF PARTIES Thomas A. Follmer and