Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 07-02359 Banc of America investment Services, Inc. Name of the Respondent Hearing Site: Orlando. Florida Michael W. Cole Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Banc of America investment Services. Inc. ("BOA"), hereinafter referred to as "Claimant": Thomas A. Volz, Esq., Kane & Fischer, Ltd., Chic

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Stifel, Nicolaus & Co., Inc., Herbert C. Keyser, III, David P. Luna, Michael Chris Nielsen, Lisa A. Evans. Edward F. Gutierrez, Jon A. Bostrom, Raymond C. Reed. Christopher S. Dral^e. Donald L. Johns. Manuel D. Lozano. Linda M. Swart-Scipione, Lisa M. McCrea. and Anthony A. Russo vs. Names of Respondents A.G. Edwards & Sons. inc. and Wachovia

STIPULATED AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Oppenheimer & Co., Inc. vs. Case Number: 05-01538 Hearing Site: Chicago, Illinois Name of Respondent Estate of Kenneth R. Cecil NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES Oppenheimer & Co., Inc. ("Claimant" or "Oppenheimer") was represented by Mark L. Kowalsky, Esq., Jaffa, Raitt, Heuer& Weiss, PC, So

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-03416 Sonia L. Moriarty, ("Claimant") vs. Edward D. Jones, LLP, ("Respondent") ATTORNEYS: Claimant appeared pro se. Morrow, GA. For Respondent appeared in-house counsel Kimberly Monroe, Esq., St. Louis, MO. NATURE OF DISPUTE: Customer vs. Member DATE FILED: November 27, 2007 CASE SUMMARY: Claimant alleged that Respondent misrepresented facts regarding her account and a loan. Claima

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-00157 Samuel P. Short, ("Claimant") vs. Morgan Keegan & Company Inc. and James Kelsoe, ("Respondents") ATTORNEYS: Claimant appeared pro se, Brookwood, AL. For Respondents appeared in-house counsel Shea O'Brien Hicks, Esq., Memphis, TN. NATURE OF DISPUTE: Customer v. Member and Associated Person DATE FILED: January 14, 2008 CASE SUMMARY: Claimant alleged that Respondents placed

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-03566 Paul Raymond Burns, ("Claimant") vs. Lincoln Financial Advisors, ("Respondent") ATTORNEYS: Claimant appeared pro se, Tempe, AZ. For Respondent appeared Jonathan J. Myers, Esq. of the firm Lincoln National Life Insurance Co., Fort Wayne, IN. NATURE OF DISPUTE: Associated Person vs. Member DATE FILED: December 11, 2007 CASE SUMMARY: Claimant alleged that Respondent placed incor

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Ruby S. Roos Trust. Allen D. Roos and Dean L. Roos, Successor Trustee. Leslie D. Roos Trust, Allen D. Roos and Dean L. Roos Successor Trustee, and Cecilia Johnson vs. Names of Respondents Capital Growth Financial, LLC, Wachovia Securities, LLC, VSR Financial Services, Inc., Rebecca L. Engle, Brian J. Schuster, Peter Lahti, and Paula Tu

STIPULATED AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Abdul R. Manjee, Zebunnisa R. Manjee, Prince R. Manjee, Nawab R. Manjee, Azim R. Manjee, and Arm-S Electric vs. Names of Respondents Citigroup Global Markets, Inc., Craig Alan Blue, and Gregory Allan Gilmore Case Number: 07-00302 Hearing Site: Indianapolis, Indiana NATURE OF THE DISPUTE Customers vs. Member and Associated Person

N.A.S.D. STIPULATED AWARD NA-nONAL ASSOCIATION OF SECURmES DEALERS In the Matter of the Aibitration Between Name of Claimants Jason Daniel Nuss Jeffrey Barry Nuss 94-03840 Name of Respondents David Abraham Blech D.Biech & Company, Inc. Stephen Lawrence Ross REPRESENTATION For Claimants Jason Daniel Nuss and Jeffrey Bany Nuss ("the Nusses"): Russell L. Forkey, Esq. of Russell L. Fodcey, P.A., Foit Lauderdale, Florida. For Responde

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-02835 Susan E. Clark ("Claimant") vs. Edward D. Jones & Co., LP and Doug Reese ("Respondents") ATTORNEYS: For Claimant appeared Jerrold Wanek, Esq., of the law-firm Garten & Wanek, Des Moines, lA. For Respondents appeared Lynette McCloud, Esq., in-house counsel for Edward D. Jones & Co., LP, St. Louis, MO. NATURE OF DISPUTE: Customer v. Member and Associated Person DATE FILED