Award FINRA Dispute Resolution In the Matter of the Arbitration Between: First Montauk Securities Corp. (Claimant) vs. Louis Inglese and Joseph Jachetti (Respondents) Case Number: 05-06504 Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Member vs. Associated Persons. REPRESENTATION OF PARTIES Claimant First Montauk Securities Corp. hereinafter referred to as "Claimant": Gerry Kowalski, Esq.. Marshall, Dennehey, Warner, Coleman & Gogg

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant G. Michael Penros vs. Name of Respondent J.J.B. Milliard, W.L. Lyons, Inc. Case Number: 07-01887 Hearing Site: Louisville, Kentucl^y Customer vs. Member G. Michael Perros ("Claimant") was represented by Alexandra Coulter Cross. Esq., Hanvell Howard, Hyne Gabbert & Manner. PC, Nashville, Tennessee. J.J.B. Hilliard. W.L. Lyons, Inc. ("Respondent")

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-00566 Amdas. Inc. and Abraham B. Medina, President, ("Claimants") vs. Keith Pannley and Scottrade, Inc., ("Respondents") ATTORNEYS: Claimants appeared pro se, Murst, TX. For Respondents appeared in house counsel Ryan M. Blum, Esq., St. Louis, MO. NATURE OF DISPUTE: Customers v. Member and Associated Person DATE FILED: February 26,2008 CASE SUMMARY: Claimants alleged that Respondent

Stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant: Case Number: 07-01349 Wachovia Securities, LLC Name of the Respondent: Hearino Site: San Francisco, California Paul G. f-litehcock Nature of Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant Wachovia Securities, LLC hereinafter referred to as "Claimant:" Judy Louie. Esq., Wachovia Securities, LLC, Legal Department, Pas

Awaixl FINRA Dispute Resolution in the Matter of the Arbitration Between: Claimant Case Number 08-00989 Charies Schwab & Co., inc. Respondent Hearing Site: Los Angeles, Califomia Yossi Gabay Nature of the Dispute: Member vs. Customer REPRESENTATION OF PARTIES Claimant, Charies Schwab & Co., inc., hereinafter referred to as "Claimant": Richard A. Karoiy, Esq., Charies Schwab & Co., Inc., San Francisco, Califomia Respondent, Yossi Gabay, herei

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 07-00348 Harold Curtis Levy IRA Respondent Hearing Site: Portland, Oregon Ameriprise Financial Sen/ices, Inc. f/k/a American Express Financial Advisors, Inc. Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant, Harold Curtis Levy, IRA hereinafter referred to as "Claimanf: Mari( Wilson, Esq., Isaacson & Wilson, P.S. Seattle

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant: Case Number: 05-06280 Pmdential Equity Group, LLC Wa Paidential Securities Incorporated Name of the Respondent: Hearino Site: Los Angeles. California Stanley I. Szymcyzk Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant Prudential Equity Group, LLC f/k/a Pmdential Securities Incorporated hereinafter referred to

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number 08-00012 Wedbush Morgan Securities. Inc. Respondent Hearino Site: San Diego, California Richard LaBare Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant, Wedbush Morgan Securities, Inc. CWMS"), hereinafter referred to as "Claimant": John W. Stenson, Esq., Wedbush Morgan Securities, Inc., Los Angeles, Califomia

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant/Counter-Respondent: Case Number: 07-02943 Bank of America Investment Services. Inc. Name of the Respondent/Counter-Claimant: Hearino Site: Dallas, Texas Candice Davis-Dunn Nature of the Disputes: Member vs. Associated Person Associated Person v. Member REPRESENTATION OF PARTIES Claimant/Counter-Respondent Bank of America Investment Services, Inc. herein

Stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimante Harry Faltert>auer Connie Falterbauer Names of the Resoondente ViewTrade Securities, Inc. f/k/a ViewTrade Securities, LLC Sean Callahan Jay Noiman Brian Herman Case Number 07-00572 Hearino Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. RePRESEHTATIQN Qf PARTIES For Harry F