AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Gail Wasserman and Wexler Meat Co. Profit Sharing Trust vs. Case Number: 06-01645 Hearing Site: Chicago, Illinois Names of Respondents Mesirow Financial, Inc., Front Barnett Associates, LLC, Phillip Bamett, and Barry Rosenberg and Name of Counter-Claimant Mesirow Financial, Inc. vs. Names of Counter-Respondents Gail Wasserman a

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Helen-Carolyn Ackerly (Claimant) vs. Gilford Securities, Inc. (Respondent) Case Number: 07-01138 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Helen-Carolyn Ackerly hereinafter referred to as "Claimant": W. Alexander Melbardis, Esq., East Setauket, NY. Respondent Gilford Securities, Inc., hereinafter referred to

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-03185 Smith Barney, a division of Citigroup Global Markets, Inc. by and through its assignee DSP, LLC, ("Claimant") vs. David Feldman, ("Respondent") ATTORNEYS: For Claimant appeared Justin Joseph D'Elia, Esq., of the firm Duane Morris LLP, New York, NY. Respondent did not submit an Answer to the Statement of Claim. NATURE OF DISPUTE: Member vs. Customer DATE FILED: November 9, 200

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-00025 Vince Sullivan and Monica Sullivan, ("Claimants") vs. E*Trade Securities LLC, ("Respondent") ATTORNEYS: Claimants appeared pro se, Phillipsburg, NJ. For Respondent appeared in-house counsel John E. Bersin, Esq., Roseville, CA. NATURE OF DISPUTE: Customers vs. Member DATE FILED: December 28, 2007 CASE SUMMARY: Claimants alleged that Respondent failed to timely execute a stop

STIPULATED AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant/Counter-Respondent Howe Barnes Hoefer & Arnett, Inc. vs. Case Number: 07-02216 Hearing Site: Chicago, Illinois Name of Respondent/Counter-Claimant Ronald W. Smith NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES Howe Barnes Hoefer & Arnett, Inc. ("Claimant" or "Howe Barnes") was represented by David T.B. Au

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Brendon R. Donovan (Claimant) vs. Lehman Brothers, Inc., and Richard D. Patterson (Respondents) Case Number: 06-02927 Hearing Site: Boston, IVIassachusetts Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Brendan R. Donovan hereinafter referred to as "Claimant" appeared pro se. Respondents Lehman Brothers, Inc. ("Lehman") and

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: David Gregory (Claimant) vs. Chase Investment Services Corp. (Respondent) Case Number: 07-01432 Hearing Site: Newark. New Jersey Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant David Gregory hereinafter referred to as "Claimant" appeared pro se. Respondent Chase Investment Services Corp., hereinafter referred to as "Respondent": Tracey C. Gilliam,

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-03489 Jon Nee Names of the Respondents Hearing Site: Charlotte, North Carolina Banc of America Investment Services, Inc. Bank of America, N.A. Nature of the Dispute: Associated Pereon vs. Member and Non-Member. REPRESENTATION OF PARTIES For Jon Nee, hereinafter referred to as "Claimant": William K. Diehl, Jr., Esq., James, McElroy &

Award FINRA Dispute Resolution in the Matter of the Arbitration Between: Names of the Claimants Case Number. 07-02321 George G. Neuner Grace A. Neuner Names of the Respondents Hearing Site: Fort Lauderdale, Florida Alex Ceron Wachovia Securities, LLC Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES George G. Neuner ("George Neuner") and Grace A. Neuner ("Grace Neuner"), hereinafter collectively

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 06-02577 Herman Kindred Ciaudean Kindred Bobby Townson Steve Phillips Jodi Phillips Wally Perry Martha Perry Charles Graham Gloranda Graham Noel Palmer Evelyn Palmer Hurston Chesser Edna Chltwood Sharen Ridgeway Don Bouldin James Bethune Morrell Chaivers Thomas Bell Dorothy K. Berry Maur