Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 07-02737 Melanie Bruno Name of the Respondent Hearing Site: Los Angeles, California AXA Advisors, LLC Nature of the Dispute: Customer v. Member REPRESENTATION OF PARTIES Claimant, Melanie Bmno, hereinafter referred to as "Claimant": Milton H. Fried, Jr., Esq., The Hayes Law Firm, P.C, Houston, Texas Respondent, AXA Advisors, LLC ("AXA")

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Piper Jaffray, Inc., Claimant v. Alan Fishman, Respondent Case Number: 04-01248 Hearing Site: San Diego, CA Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES For Claimant: Elizabeth H. Lindh, Esq. Keesal, Young & Logan Long Beach, California For Respondent: R. Craig Zafis, Esq. Law Offices of Craig R. Zafis San Diego, Californi

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 05-04554 David McCoy Names of the Respondents Hearing Site: Tampa, Florida GunnAllen Financial, Inc. Richard Frueh Donald J. Gunn Bradley Fay Richard Nummi Names of the Third Partv Claimants GunnAllen Financial, Inc. GunnAllen Holdings, Inc. Names of the Third Partv Respondents David McCoy McCoy Rep Services, Inc.

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Almax Investments, LLC vs. Case Number: 07-01620 Hearing Site: Chicago, Illinois Names of Respondents EROOM Securities LLC, Michael P. Moore, and Sarah Moore NATURE OF THE DISPUTE Non-Member vs. Member, Associated Person, and Non-Member REPRESENTATION OF PARTIES Almax Investments, LLC ("Claimant" or "Almax") was represented by Stephen P. Bedell,

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants George C. Bartram and Viola W. Bartram vs. Case Number: 05-06277 Hearing Site: Dallas, Texas Name of Respondent Edward D. Jones & Company, LP NATURE OF THE DISPUTE Customers vs. Member REPRESENTATION OF PARTIES George C. Bartram and Viola W. Bartram ("Claimants") were represented by Richard A. Lewins, Esq., Berg Simpson Eldredge Hersh & Jardin

Award FiNRA Dispute Resoiution In the Matter of the Arbitration Between: Janney Montgomery Scott, LLC (Claimant) vs. Jonathan Wayne Barkman (Respondent) Case Number: 07-02087 Hearing Site: Philadelphia. Pennsylvania Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Janney Montgomery Scott, LLC, hereinafter referred to as "Claimant": Carrie L. Cheiko, Esq., Janney Montgomery Scott, LLC, Philadelphia, PA. Responde

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Daniel H. Morris (Claimant) vs. Aurora Capital LLC and Jeff E. Margolis (Respondents) Case Number: 0;'-01269 Hearina Site: New York. New York Nature of the Dispute: Associated Person vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Daniel H. Morris hereinafter referred lo as "Claimant": Steven B. Caruso. Esq., Maddox Hargett & Caruso, P.C, New York, NY. Resp

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-02342 Comprehensive Wealth Management L.L.C. ("Claimant/Counterclaim Respondent") vs. Mark Lindberg and Dailene Ljndberg. ("Respondents/Counterclaim Claimants") ATTORNEYS: For Claimant/Counterclaim Respondent appeared Kent Mlllikan, Esq. of the finn Deno, Millikan, Dale. Decker & Petersen PLLC, Everett, WA. Respondents/Counterclaim Claimants appeared pro se. Edmonds, WA. NATURE OF DISP

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Robert V. Troy, Executor for the Estate of Eleanor Daly Troy (Claimant) vs. Merrill Lynch Pierce Fenner & Smith, Inc., and Patrick Christopher Taylor (Respondents) Case Number: 06-03827 Hearing Site: New York, New Yori^ Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Robert V. Troy, Executor for the Estate of Eleanor Daly Troy he

Award FINRA Dispute Resoiution In the Matter of the Arbitration Between: Angelo Pisani and Benedetta Pisani (Claimants) vs. Capital Growth Financial, LLC (Respondent) vs. Steven Bernstein and Ari Elfenbein (Third-Party Respondents) Case Number: 06-01289 Hearing Site: New York. New York Nature of the Dispute Initial Claim: Customers vs. Member. Nature of the Dispute Third-Party Claim: Member vs. and Associated Persons. REPRESENTATION OF PARTIES Claim