Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number 08-00148 H&R Block Financial Advisors. Inc. Name of the Respondent Hearing Site: Tampa, Florida Douglas Studer Nature of the Dispute: Member vs. Associated Person. For IH&R Bk)ck Financial Advisors, Inc., hereinafter referred to as "Claimanf: Edward A. Walton, Assistant General Counsel, H&R Bk)ck Financial Advisors, Inc., Detroit, Michigan.

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Ryan Beck & Co., Inc. (Claimant) vs. Paul R. Martin (Respondent) Case Number: 07-01342 Hearing Site: Newark, New Jersey Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Ryan Beck & Co.. Inc., ("Claimant"): Jeffrey C. Primiano. Esq.. Stifel Nicolaus & Company, Inc., Florham Park, NJ. Respondent Paul R. Martin ("Respondent"): Mark Astarita,

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Todd Donohue and Joan Donohue (Clainnants) vs. Citigroup Global Markets. Inc. and Donald E. Smith (Respondents) Case Number: 07-02189 Hearing Site: New Yori^, New Yorit Nature of the Dispute: Customers vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Todd Donohue ("T. Donohue") and Joan Donohue ("J. Donohue"), hereinafter collectively referred to as "Claima

Award FINRA Dispute Resolution In the Matter of the Art)itration Between: Name of Claimant Case Number. 07-02417 Wachovia Securities, LLC Name of Respondent Hearina Site: Seattle, Washington Bruce W. Myere Nature of the Dispute: Member v. Associated Person REPRESENTATION OF PARTIES Claimant Wachovia Securities, LLC: Renan I. Sugarman, Esq. Renan Sugamian, P.C, Chicago, Illinois Respondent Bruce W. Myere, In Pro Se, Kiridand, Washington C

Award FINRA Dispute Resolution In the Matter of the Arisitration Between: Claimant Case Number 07-02886 Sherpa Fund, LP Respondents Hearina Site: Dallas, Texas AFS Brokerage, Inc. Robert M. Gioia Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant, Sherpa Fund, LP, hereinafter referred to as "Claimant": John R. Fahy, Esq., Whftaker. Chalk. Swindle & Sawyer. L.L.P., Fort Worth, Texas Respond

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimants Case Number. 08-01202 Robert J. Goundry and Patricia A. Goundry Respondent Hearing Site: Albuquerque, New Mexico TD Ameritrade, Inc. Nature of the Dispute: Customers v. Member REPRESENTATION OF PARTIES Claimants, Robert J. Goundry and Patricia A. Goundry, hereinafter collectively referred to as "Claimants": Pro Se, Aztec, New Mexico Respondent TD Ameritrede, I

Award FINRA DIsputo Rseohillon In the miatter of the ArbHratkm Between: Claimant Case Number 07-01041 RBC Dein Itejscher Inc. ReannnriBnt Hearing SMe: Los Angeles, California Gary J. Handler Nature of the Dispute: Member vs. Associated Person REPREaEMTATIQII OF PARTIEg Claimant RBC Dain Rauscher, Inc. herslnafler referred to es "^almantT: Abe Lampart; Esq.. I.aw Offices of Abe Lampart, San Francisco, Cailfomla, Carolyn Guy, Esq. RBC Dain Rau

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 07-02494 John D. Gentis Names of the Respondents Hearing Site: Tampa, Florida Chad Michael Eslinger Patrick David Wallen ING America Equities, Inc. Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For John D. Gentis ("Gentis"), hereinafter referred to as "Claimant": Law Offices of Michael C

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant David L. Hargreaves Case Number: 08-00418 Name of the Respondents CUSO Financial Services, L.P. Financial Network Investment Corporation Hearing Site: Denver, Colorado Nature of the Dispute: Customer vs. Members REPRESENTATION OF PARTIES Claimant, David L. Hargreaves, hereinafter refen^d to as "Claimant": Richard B. Fosher, Esq., SimmonsCooper, LLC, Eas

Award FINRA DIsputa Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number 07-01775 Estate of Brian Bumell Elizabeth K. Burr^ll Names of the Respondents Hearing Site: Charlotte, North Carolina Southeast Investments, N.A., Inc. Frank H. Black Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For the Estate of Brian Bumell, ("Estate of Bumell") and Elizabeth K. Bumell (