Stipulated Award FINRA Dispute Resolution In the Matter ofthe Arbitration Between: Diane Moss (Claimant) vs. Westrock Advisors, Inc., Gregory Marcei Martino, and Cheryl D. Jimerson (Respondents) Case Number: 07-00736 Hearing Site: New York, New York Nature ofthe Dispute: Customer vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant Diane Moss hereinafter referred to as "Claimant": William J. Gladden, Esq., Attorney at Law, Savannah,

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Caren M. Bass (Claimant) vs. Citigroup, Inc. (Respondent) Case Number: 07-00359 IHearina Site: New Yorl< , New York Nature ofthe Dispute: Associated Person vs. Non-Member. REPRESENTATION OF PARTIES Claimant Caren M. Bass hereinafter referred to as "Claimant" appeared pro se as of April 11, 2008. Previously represented (including at the hearings) by Lawrence J. Glynn, Esq., Law O

stipulated Award FINRA Dispute Resolution In the Mati:er ofthe Arbitration Between: Name of the Claimants Case Number: 07-00688 Cari Spradlin, Individually and as Co-Trustee of the Spradlin Living Trust dtd 4/2/01 and On Behalf of the Cari Spradlin RO IRA and Joy Spradlin, Individually and as Co-Trustee ofthe Spradlin Living Tmst dtd 4/2/01 and On Behalf of the Joy Spradlin RO IRA Name of the Respondents Hearinc Site: Reno, Nevada As

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants Case Number: 07-01705 Lan7 Scallons Bess Scallons Name of the Respondents Hearing Site: Dallas, Texas The GMS Group, LLC Stacie Lynn Clark Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES Claimants. Larry and Bess Scallons, hereinafter collectively referred to as "Claimants": John M. Gillis, Esq., Dalla

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants: Case Number: 07-00471 Tammy Mays and Cindy Mays Name of the Respondents: Hearing Site: Dallas, Texas A.G. Edwards & Sons, Inc. Banc of America Investment Services, Inc. Brent Lemons Nature of the Dispute: Customers vs. Members and Associated Person REPRESENTATION OF PARTIES Claimants, Tammy Mays and Cindy Mays, hereinafter collectively referred to

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant: Case Number: Raymond James Stockus 07-02163 Name of the Respondents: Hearing Site: Brookstreet Securities Corporation, Los Angeles, California and National Financial Services LLC Name of the Cross-Claimant: Brookstreet Securities Corporation Name of the Cross-Respondent: National Financial Services LLC Nature of the Dispute: Associated Person v

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Jesse Villanreal, Jr., Claimant v. Raymond James Financial Services, Inc., Respondent Raymond James Financial Services, Inc. Counter-Claimant v. Jesse Villarreal, Jr., Counter-Respondent Case Number: 06-02740 Hearinc Site: Portland. Oregon Nature of the Dispute: Associated Person v. Member Member v. Associated Person REPRESENTATION OF PARTIES For Claimant/Counter-Respondent

Stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant John S. Phillips Name of the Respondent Lincoln Financial Distributors, Inc. Case Number: 07-02957 Hearing Site: Denver, Colorado Nature of the Dispute: Associated Person v. Member REPRESENTATION OF PARTIES Claimant, John S. Phillips, hereinafter referred to as "Claimant": John S. Lutz, Esq., Fairfield and Woods, P.C. Denver. Colorado

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Ronald B. Schmoll and Geriind R. Schmoll, JT TEN Ronald B. Schmoll Roth IRA Ronald B. Schmoll Rollover IIRA Geriind R. Schmoll Rollover IRA Case Number: 07-01303 Names of the Respondents Kenneth J. Pujdak H. D. Vest Investment Services, Inc. AIS Financial, Inc. Workman Securities Corporation Advantage Advisory Services, Inc. He

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Prudential Equity Group, LLC f/k/a Prudential Securities, Inc. vs. Case Number: 06-02570 Hearing Site: Dallas, Texas Name of Respondent Chad J. Johnson NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES Prudential Equity Group, LLC f/k/a Prudential Securities, Inc. ("Claimant") was represented by Erin A. Rowin, Esq.