Stipulated Award FINRA Dispute Resolution In the Matter of the Ari3itration Between: Names of the Claimants Case Number: 07-00799 Arte Aioni Have Aioni Names of the Respondents Hearina Site: Boca Raton. Florida CIBC Worid Martlets Corp. Jeff Bank Susan Sutheriand Arthur Lewis Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Arte Aioni and Have Alonl, hereinafter referred to as "Claimants

STIPULATED AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Joseph and Isabel Prischal^ vs. Names of Respondents Deutsche Bank Securities, Inc. and Malcolm T. Dale Case Number: 05-04558 IHearing Site: Pittsburgh, Pennsylvania Customers vs. Member and Associated Person Joseph and Isabel Prischal^ ("Claimants") were represented by Douglas R. Jennings, Esq., Caiiile Patchen & Murphy, LLP, Colum

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-04695 Flavia LoCoco Name of the Respondents Hearina Site: Los Angeles, California WM Financial Services, Inc. and Philip P. Hurst Nature of the Dispute: Associated Person vs. Member and Associated Person REPRESENTATiON OF PARTIES Claimant, Flavia LoCoco, hereinafter refenred to as "Claimanf: Montgomery G. Griffin, Esq., La

Award FINRA Dispute Resolution In the Matter of the Arisitration Between: Claimant Case Number: 07-02566 GunnAllen Financial, Inc. Respondents Hearina Site: Los Angeles, Califomia Michael A. Poutre, II and Shiomi S. Epiboim Counter-Claimants Michael A. Poutre, II and Shiomi S. Epiboim Counter-Respondent GunnAllen Financial, Inc. Nature of the Dispute: Member vs. Associated Persons Associated Persons v. Member REPRESENTATION O

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 07-02775 James E. Baxter, II Betty L. Baxter and James E. Baxter, 11, joint tenants John O. Baxter and James E. Baxter, II, joint tenants Kathleen P. King Name of the Respondent Hearina Site: Richmond, VA TD Ameritrade, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For James E. Baxter, II, Betty L. Bax

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Jeffrey Hamilton and Alexia Hamilton (Claimants) vs. Continental Broker Dealer Corp., Timothy P. Higgins, Leonard M. Cusumana, Michael Clements, The Gregory M. Hasho Voting Trust, Gregory M. Hasho, individually and as sole beneficiary of the Gregory M. Hasho Voting Trust dated November 21, 1995, Lizy Elizabeth Chandy, and Dominick Bianco, NF Clearing Inc., f/k/a Fiserv Securities Inc.,

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Lynn Bickert Coyle and Bently Partners, Inc. (Claimants) vs. McLaughlin, Piven, Vogel Securities, Inc., and Paul T. Marrone (Respondents) Case Number: 06-04087 Hearing Site: Albany, New York Nature of the Dispute: Customers vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Lynn Bickert Coyle ("Coyle") and Bently Partners, Inc., ("Bently"), hereinafter collec

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Robert Montanino (Claimant) vs. H & R Block Financial Advisors, Inc. (Respondent) Case Number: 06-01679 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Robert Montanino hereinafter referred to as "Claimant": Bruce D. Oakes, Esq., SimmonsCooper, LLC, East Alton, IL. Respondent H & R Block Financial Advisors, Inc., h

Award FINIRA Dispute Resolution In the Matter of the Arbitration Between: Claimant: Case Number: 06-05046 Steven B. Bickel Respondents: Hearing Site: Los Angeles, California A.G. Edwards & Sons, Inc. Robert W.Burns John James Humphrey Counterclaimants: A.G. Edwards & Sons, Inc. Robert W. Burns Counter-Respondent: Steven B. Bickel Nature of the Disputes: Customer vs. Member and Associated Person Member and Associated Person vs

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 07-02314 Susan K. Key Name of the Respondent Hearina Site: Houston, Texas Financial Network Investment Corporation, ING Financial Advisors, LLC, Citigroup Global Markets, Inc., Debra Mae White Stephens, Thomas L. Howard, Larry T. Hill, Michael T. Hamlin, Ozzie R. Bauer, Amold Richard Riley, and Michael J. Handlin Nature o