AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Dawne Ann Ferland vs. Case Number: 07-01821 Hearing Site: Cincinnati, Ohio Name of Respondent A.G. Edwards & Sons, Inc. NATURE OF THE DISPUTE Associated Person vs. Member REPRESENTATION OF PARTIES Dawne Ann Ferland ("Claimant") was represented by Theresa M. Mohan, Esq., Law Offices of B. Dahlenburg Bonar, P.S.C, Covington, Kentucky, as of on or

. FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-03084 Lee W. Tower, ("Claimant") vs. Wachovia Securities, LLC, Mark Douglas Panfil, Aldo Lozano and David Matthew Altshuler, ("Respondents") ATTORNEYS: Claimant appeared pro se, Rancho Palos Verdes, CA. For Respondents appeared Michael Naccarato, Esq., in-house counsel for A.G. Edwards & Sons, Inc., St. Louis, MO. NATURE OF DISPUTE: Customer v. Member and Associated Persons DATE

stipulated Award FiNRA Dispute Resolution In the Matter of the Arbitration Between: Sheila Whitcomb (Claimant) v. Commonwealth Financial Network and Stephen F. White (Respondents) Case Number: 05-06272 Hearing Site: Manchester, New Hampshire Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Sheila Whitcomb hereinafter referred to as "Claimant": Robert A. Uhl, Esq., Aidikoff, Uhl & Bakhtiari, Beverly

FINRA DISt^UTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-03180 Smith Barney, a division of Citigroup Global Maritets, Inc. by and through its assignee DSP, LLC, ("Claimant") vs. Joshua Levine, ("Respondent") ATTORNEYS: For Claimant appeared Justin Joseph D'Elia, Esq.. of the firm Duane Morris LLP, New Yorit, NY. Respondent appeared pro se.Teaneck, NJ. NATURE OF DISPUTE: Member vs. Customer DATE FILED: November 9,2007 CASE SUMMARY: C

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-03191 Smith Barney, a division of Citigroup Global Markets, Inc. by and through its assignee DSP, LLC, ("Claimant") vs. Tony Cheng, ("Respondent") ATTORNEYS: For Claimant appeared Justin Joseph D'Elia, Esq., of the fimn 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, 2007

Award FINRA Dispute Resolution In tiie IVIatter of the Arbitration Between: Kenneth Mosl^owitz and Leonard Moskowitz (Claimants) v. Lehman Brothers, Inc., Todd M. Rubsamen, James Anthony Odorczulc, and Saleh Suliman Faraj (Respondents) Case Number: 04-01174 Hearing Site: New Yori< . New York Nature of the Dispute: Customers vs. IVIember and Associated Persons. REPRESENTATION OF PARTIES Claimants Kenneth Moskowitz ("K. Moskowitz") and Leonard Moskowit

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 07-01361 Sheila Segrest, individually; and Sheila Segrest, as next friend of Anna Brook Segrest, a minor Names of the Respondents l-learing Site: Birmingham, Alabama Raymond James Financial Services, Inc. Raymond James & Associates, Inc. AIG SunAmerica Life Assurance Company Chappell & l-lolman Financial Advisors, Inc. Ann Holman

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 07-00925 Jodi Whitehead Names of the Respondents Hearina Site: Boca Raton, Florida CIBC Worid Markets Corp. Jeff Bank Susan Sutheriand Arthur Lewis Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Jodi Whitehead, hereinafter referred to as "Claimant": Darren C. Blum, Esq., Blum & Si

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant/Counter-Respondent Advanced Equities, Inc. vs. Case Number: 06-01261 Hearing Site: Chicago, Illinois Name of Respondent/Counter-Claimant Denise Kappel NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES Advanced Equities. Inc. ("Claimant" or"AEI") was represented by Ronald M. Amato, Esq., Shaheen, Novoselsky, Staat, Fili

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Schultz Investment Advisors, Incorporated vs. Case Number: 06-03445 Hearing Site: Southfield, Michigan Names of Respondents Roger D. Steensma, Douglas A. Plamondon, Randy Novotny, SPN Financial Services, LLC, and Hoffman, Steensma, and Plamondon, PLC and Names of Counter-Claimants Roger D. Steensma, Douglas A. Plamondon. Randy Novotny, SPN F