FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-03083 RBC Dain Rauscher Inc. ("Claimant/Counterclaim Respondent") v. Anthony Russo ("Respondent/Counterclaim Claimant") ATTORNEYS: For Claimant/Counterclaim Respondent appeared Carolyn Guy, Esq., in-house counsel, Minneapolis, MN. Respondent/Counterclaim Claimant appeared Pro se, Highland Ranch, CO. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: November 1, 2007 CAS

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-03550 Jack Heide, ("Claimant") vs. TD Ameritrade Inc., ("Respondent") ATTORNEYS: Claimant appeared pro se, Hartsdale, NY. For Respondent appeared in-house counsel Kelly R. Davis, Esq., Bellevue, NE. NATURE OF DISPUTE: Customer vs. Member DATE FILED: December 19, 2007 CASE SUMMARY: Claimant alleged that Respondent should not have charged him transfer fees and charges. Claimant maint

STIPULATED AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Dale W. Wise vs. Case Number: 02-04882 Hearing Site: Chicago, Illinois Names of Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. and Bernard C. Ringer NATURE OF THE DISPUTE Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Dale W. Wise ("Claimant") was represented by Paul J. Sussman, Esq., Law Offices of Paul

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Milton J. Leeman vs. Name of Respondent George L. Babyak Case Number: 08-00207 Hearing Site: Columbus, Ohio NATURE OF THE DISPUTE Associated Person vs. Customer REPRESENTATION OF PARTIES Milton J. Leeman ("Claimant") was represented by W. Scott Turnbull, Esq., Miller Canfield Paddock and Stone, P.L.C., Detroit, Michigan. George L. Babyak

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Juluru P. Rao (Claimant) v. Investec Ernst & Company and Mark Ketner (Respondents) Case Number: 06-02002 Hearing Site: Newark, New Jersey Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Juluru P. Rao hereinafter referred to as "Claimant": Kim Steven Juhase, Esq., Novak & Juhase, Roseland, NJ. Respondents Investec E

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Libucki and Company, LLC (Claimant) v. Birchwood Securities Corporation (Respondent) Case Number: 07-02052 Hearing Site: Philadelphia, Pennsylvania Nature or tne uispute: Non-Memoer vs. Memoer. REPRESENTATION OF PARTIES Claimant Libucl^i and Company, LLC, hereinafter referred to as "Claimant": Debra G. Speyer, Esq., Law Offices of Debra G. Speyer, Philadelphia, PA. Responde

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Alaa Elhamrawy (Claimant) vs. Online Brokerage Sen/ices, Inc. (Respondent) Case Number: 07-02867 Hearing Site: Boston, Massachusetts Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Alaa Elhamrawy hereinafter referred to as "Claimant" appeared pro se. Respondent Online Brokerage Services, Inc., hereinafter referred to as "Respondent": Kevin M. Over

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-00746 Edwin and M'tchetle Lee, ("Claimants'') vs. Merrill Lynch, Pierce Fenner &Smith, inc., CRespondenf) ATTORNEYS: Claimants appeared pro se, Chatham, NJ. For Respondent appeared Angela A. Turiano, Esq., of the firm Bressier, Amery & Ross, P.C, New York, NY. NATURE OF DISPl/TE: Customers vs. Member DATE FILED: March 10, 2008 CASE SUMMARY: Claimants alleged that Respondent mad

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 07-01912 Leonard D. Miles & Marian J. Miles. JTWROS The Estate of Leonard D. Miles, Marian J. Miles, Executrix Marian J. Miles IRA Marian J. Miles Family Trust, TTEE U/A DTD 5/15/00 FBO Marian J. Miles Names of the Respondents Hearing Site: Oriando, Florida Bear, Steams Securities Corp. MidSouth Capital, Inc. Name of the Third

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 06-05306 Lorenza Ramos de Vildosola, individually, Gustavo A. Vildosola Castro, individually, by and through his attorney-in-fact Lorenza Ramos de Vildosola, and Lorenza Ramos de Vildosola and Gustavo A. Vildosola Castro, as trustors and vested beneficiaries of The Gustavo A. Vildosola C. and Lorenza Ramos de Vildosola Trust Agreement