Award FINRA Dispute Resolution In the Matter of the Arbitration Between: GunnAllen Financial, Inc. (Claimant) vs. Andrew Tressler (Respondent) Case Number: 07-01980 Hearing Site: New York, New York Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant GunnAllen Financial, Inc., hereinafter referred to as "Claimant": Jay Marc Israel, Esq., GunnAllen Financial, Inc., Lindenhurst, NY. Previously represented by Michael

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Fatima Belaid (Claimant) vs. Jeffrey Halpert and The Jeffrey Matthews Financial Group, LLC (Respondents) Case Number: 07-00168 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Associated Person and Member. REPRESENTATION OF PARTIES Claimant Fatima Belaid ("Claimant"): Kevin P. Conway, Esq., Conway & Conway, New York, NY. Respondents Jeffrey Halpert ("Hal

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 07-01100 The Shorr Family Trust Names of the Respondents Hearing Site: Chariotte, North Carolina A.G. Edwards & Sons, Inc. Terry Dean Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For The Shorr Family Trust (the "Trust"), hereinafter referred to as "Claimant": Ronald W. Karolyi, Esq., Ronald

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 07-01583 Harold Frank Davis IRA Sarah N. Davis and Harold F. Davis, Tmstees, Davis Family Trust Names of the Respondents Hearing Site: Chariotte, North Carolina Hayes Howell Burieson, Jr. A.G. Edwards & Sons, Inc. Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Harold Frank Davis IRA ("H

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant H&R Block Financial Advisors, Inc. vs. Name of Respondent Glenn Dzidowski Case Number: 07-02138 Hearing Site: Detroit, Michigan NATURE OF THE DISPUTE Member vs. Customer REPRESENTATION OF PARTIES H&R Block Financial Advisors, Inc. ("Claimant") was represented by Edward A. Walton, Esq., H&R Block Financial Advisors, Inc., Detroit, Michigan.

STIPULATED AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Wachovia Securities, LLC vs. Case Number: 06-04423 Hearing Site: Detroit, Michigan Name of Respondent Michael E. Simmers NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES Wachovia Securities, LLC ("Claimant" or "Wachovia") was represented by Diane C. Fischer, Esq., Ronald P. Kane, Esq., and Gregory B. Simon,

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-00344 Cherie A. Stokes, ("Claimant") vs. Howe Barnes Hoefer & Arnett, Inc., ("Respondent") ATTORNEYS: Claimant appeared pro se, Alameda, CA. For Respondent in-house counsel Matthew C. Boba, Esq., Chicago, IL. NATURE OF DISPUTE: Associated Person vs. Member DATE FILED: January 30, 2007 CASE SUMMARY: Claimant alleged libel/slander on Form U-5 and retaliatory termination. Claimant req

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-01600 Patricia A. Slatten (formerly Patricia A. Ritcliie), ("Claimant") vs. BOSC, Inc. and Brandy Barnes-Marion, ("Respondents") ATTORNEYS: For Claimant appeared Clell I. Cunningham, III, Esq., of the firm Dunn Swan & Cunningham, Oklahoma City, OK. For Respondents appeared Paul DeMuro, Esq., of the firm Fredric Donwart, Tulsa, OK. NATURE OF DISPUTE: Customer v. Member and Associated Pe

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-02723 Maria Delia Monteagudo, ("Claimant") vs. Wunderlich Securities and Craig Gould, ("Respondents") ATTORNEYS: Claimant appeared pro se, Cleveland, OH. For Respondents appeared Mark D. Griffin, Esq. of the firm Baker, Donelson, Bearman, Caldwell & Berkowltz, Mempiiis, TN. NATURE OF DISPUTE: Customer v. Member and Associated Person DATE FILED: September 19, 2007 CASE SUMMARY

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 07-00317 John F. Erickson Names of the Respondents Hearing Site: Washington, D.C. Meyers Associates, L.P. Robert Tucker Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES John F. Erickson ("Erickson"), hereinafter referred to as "Claimant", appeared pro se. For Respondent Meyers Associates, L.P.