AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant H.C. Wainwright & Co., Inc. vs. Name of Respondent Legent Clearing, LLC Case Number: 07-03016 Hearing Site: Omaha, Nebraska NATURE OF THE DISPUTE Member vs. Member REPRESENTATION OF PARTIES H.C. Wainwright & Co., Inc. ("Claimant") was represented by Michael T. Stolper, Esq., On-ick, Herrington & Sutcliffe, LLP, New York, New York. Legent

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 07-02602 A. Dale Ray Names of the Respondents Hearing Site: Nashville, Tennessee James Bratcher Securities Service Network, Inc. Financial Management Advisors, Inc. Nature of the Dispute: Customer vs. Member, Non-Member and Associated Person. REPRESENTATION OF PARTIES For A. Dale Ray ("Ray"), hereinafter referred to as "Claimant": Walte

AWARD FINRA DISPUTE RESOLUTION In the Matter of the Arbitration Between: Ameriprise Financial Services, Inc. (Claimant) vs. Johan Leffler (Respondent) Case Number: 08-00320 SITUS: Hartford, Connecticut NATURE OF DISPUTE: IVIember v. Associated Person. REPRESENTATION OF PARTIES: Ameriprise Financial Services, Inc., hereinafter referred to as "Claimant": Edward B. Magarian, Esq., Dorsey & Whitney LLP, Minneapolis, MN. Respondent Johan Leffler ("Re

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 07-02447 Bemice Kramer Names of the Respondents Hearing Site: Boca Raton, Florida Traderight Securities, Inc. Newbridge Securities Corp. Linsco/Private Ledger Corp. Leighton David Appiefeld Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Bernice Kramer ("Kramer"), hereinafter referred

STIPULATED AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant / Counter-Respondent H&R Block Financial Advisors. Inc. vs. Name of Respondent / Counter-Claimant Robert Casaceli Case Number: 07-01853 Hearing Site: Detroit, l\^ichigan NATURE OF THE DISPUTE l\1ember vs. Associated Person REPRESENTATION OF PARTIES H&R Block Financial Advisors. Inc., ("Claimant" or "HRBFA") was represented by Edward

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: John McQueen (Claimant) v. A.G. Edwards & Sons, Inc., and Jason Parlato (Respondents) Case Number: 06-02098 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant John McQueen hereinafter referred to as "Claimant" appeared pro se. Previously represented by James J. Corbett, Esq., Law Offices

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: CCO Investment Services Corp. (Claimant) vs. Peter B. Coley and Citigroup Global Markets, Inc., (Respondents) Case Number: 08-00456 Hearina Site: Boston, Massachusetts Nature of the Dispute: Member vs. Associated Person and Member. REPRESENTATION OF PARTIES Claimant CCO Investment Services Corp., hereinafter referred to as "Claimant": David M. Belcher, Esq., Belcher, Starr & Fi

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-00068 Shirley Kathleen Paessler, ("Claimant") vs. E*Trade Securities LLC, ("Respondent") ATTORNEYS: Claimant appeared pro se, Las Vegas, NV. For Respondent appeared in house counsel John Bersin, Esq., Roseville, CA. NATURE OF DISPUTE: Customer vs. Member DATE FILED: January 4, 2008 CASE SUMMARY: Claimant alleged that Respondent negligently handled her account and failed to address

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Banc of America Investnnent Services, Inc. (Claimant) vs. Gabriel DeFeo (Respondent) vs. Martin Courage, Louis Garofono, and Karen Ellis (Third-Party Respondents) Case Number: 07-00701 Hearina Site: Providence, Rhode Island Nature of the Dispute: Initial Claim: Member vs. Associated Person. Third-Party Claim: Associated Person vs. Associated Persons. REPRESENTATION OF PARTIES

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Paul Vagnozzi, individually and as Executor of the Estate of Charlotte Vagnozzi (Claimants) vs. UBS PaineWebber n/k/a UBS Financial Services, Inc., and Enrico Caiazzo (Respondents) Case Number: 07-03435 Hearina Site: Philadelphia, Pennsylvania Nature of the Dispute: Customers vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Paul Vagnozzi ("Vagnozzi") and th