Award FINRA Dispute Resoiution In the Matter of the Arbitration Between: Name of the Claimant Case Number 07-02724 RBC Dain Rauscher, Inc. Name of the Respondent Hearina Site: Boca Raton, Florida Wayne SorokowskI Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For RBC Dain Rauscher, Inc., hereinafter referred to as "Claimant": Gary Inwin, Esq., Gary In/vin & Associates, Miami, Florida. For Wayne Sorokowski, her

AWARD FINRA Dispute Resoiution In the Matter of the Arbitration Between: Name of Claimant Jack W. Moreland vs. Case Number 07-01322 IHearing Site: Kansas City. Missouri Name of Respondent Perkins. Smart and Boyd. Inc. NATURE OF Associated Person vs. Member REPRESENTATION OF PARTIES Jack W. Moreland ("Claimant") was represented by Jeffrey S. Kruske. Esq., Law Office of Jeffrey S. Kmske. P.A.. Overland Park, Kansas. Perkins, Smart

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Joseph Brian Kemke, Individually and as Trustee of the Blanche I. Kemke Amended, Revised, Restated, Revocable Trust; and as Trustee of the Amended, Revised, Restated, Kenneth V. Kemke Revocable Trust; and as Tmstee of the Joseph C. Kemke, Sr, Family Shelter Trust vs. Case Number: 06-04283 Hearing Site: Oklahoma City, Oklahoma Names of Responde

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants lona Hastings and Elaine M. Heng vs. Names of Respondents Capitol Growth Financial, LLC, Wachovia Securities, LLC, VSR Financial Services, Inc., Peter Lahti Rebecca L. Engle, and Brian J. Schuster Case Number: 07-00295 IHearing Site: Omaha, Nebraska NATURE OF THE DISPUTg Customer vs. Tenninated Member, Members, and Associated Persons l

Award FINRA Dispute Resolution In the Matter of the Art3ltration Between: Name of the Claimant Case Number: 03-02903 Charies R. Raulerson, Jr. Name of the Respondents Hearing Site: San Francisco, Califomia First Wall Street Corp. John Openshaw Barbara J. Ralston Charies P. Lazzaro Nature of the Dispute: Customer vs. Memt>er and Associated Persons REPRESENTATION OF PARTIES Claimant, Charies R. Raulerson, Jr., hereinafter referred to as "C

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimants Case Number: 08-03685 David E. Haines Nancy A. Haines Respondents Hearing Site: Los Angeles, California CAC Capital Corp. Christopher Anthony Corso, Sr. Nature of the Dispute: Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Claimants. David E. Haines and Nancy A. Haines, hereinafter referred to as "Claimants": John D. Singer, Esq., Sin

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 08-00627 Reid & Rudiger, LLC Respondent Hearina Site: Seattle, Washington Ronald L. Williams, a/k/a Ron Williams Nature of the Dispute: Member vs. Customer REPRESENTATION OF PARTIES Claimant, Reid & Rudiger, LLC, hereinafter referred to as "Claimant": Joel S. Foreman, Esq., Curtis, Maliet-Prevost, Colt & Mosle LLP, New York. New York. Respondent, R

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 07-02794 Anniica Claris Respondent Hearing Site: Denver, Colorado AIG Financial Advisors and Derek Roy Kent Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant, Annlka Claris, hereinafter referred to as "Claimant": Steven M. Feder, Esq. and Brett LamplasI, Esq., Feder Law Firm, Denver, Colorado Respon

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Lanstone Nominees Pty Ltd, individually and as Trustee of the Barry Fry Superannuation Fund and The Barry Fry Superannuation Fund (Claimants) vs. Morgan Wilshire Securities, Inc., Morgan Wilshire Securities, Pty, Ltd., Anthony Donaruma, Aiexys Mackenzie, Michael John Finnan, and Charles Carriiio (Respondents) Case Number: 06-04706 Hearina Site: New York, New York Nature of the Disp

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07 02711 Frederick Jay Arnold, CCialmant^ vs. John Anthony Carney and Donald Drew Siok, ("Respondents") ATTORNEYS: Claimant appeared pro se, Langhome, PA. Respondent John Anthony Camay appeared pm se, Haddonfield, NJ. Respondent Donald Drew Skik appeared pm se, Haddonfield, NJ. NATURE OF DISPUTE: Associated Person vs. Associated Persons" DATE FILED: September 18, 2008 CASE SUMMARY