AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Emily R. Firebaugh vs. Names of Respondents A.G. Edwards & Sons, Inc. and CIBC Worid Markets Corp. Case Number: 06-04978 Hearing Site: St. Louis, Missouri NATURE OF THE DISPUTE Customer vs. Members REPRESENTATION OF PARTIES Emily R. Firebaugh ("Claimant") was represented by Jerome F. Raskas, Esq. and Peter Love, Esq., Goffstein, Raskas,

Award FINIRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 07-00724 Coker, Palmer, Phillips & Mullen, Inc. Paul T. Westervelt Michael D. Bodino Name of the Respondent Hearing Site: Jackson, Mississippi Sterne, Agee & Leach, Inc. Nature of the Dispute: Member and Associated Person vs. Member. REPRESENTATION OF PARTIES For Coker, Palmer, Phillips & Mullen, Inc. ("CPPM"), Paul T. Westervelt ("W

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Billy C. Willoughby, Marcla J. Hicks, Richard L. Shelton, Edward L. Graham, Carol Morford, Luster D. Palmer, James R. Phillips, Helen S. Phillips, Clay C. Faulconer, James Hellard, JImmie R. Embry, and Robert McDonnell vs. Case Number: 06-05197 Hearing Site: Lexington, Kentucky Names of Respondents A.G. Edwards & Sons, Inc. and Bryon Lee Holle

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Lawrence B. Frankel (Claimant) vs. Merrill Lynch, Pierce, Fenner & Smith, Incorporated (Respondent) Case Number: 07-02787 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Lawrence B. Frankel hereinafter referred to as "Claimant": Eva H. Posman, Esq., New York, NY. Respondent Merrill Lynch, Pi

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 06-04597 SunTrust Banks, Inc. SunTrust Capital Markets, Inc. SunTrust Investment Services, Inc. Name of the Respondent Hearinq Site: Washington, D.C. Joshua A. Mazer Nature of the Dispute: Member and Non-Member vs. Associated Person. REPRESENTATION OF PARTIES For SunTrust Banks, Inc. ("Banks"), SunTrust Capital Markets, Inc. ("Capital

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 07-00269 Cambridge Way, Inc. Cambridge Equity Advisors, Inc. Name of the Respondent Hearinq Site: Nashville, Tennessee Aaron Vallett Names of Third-Partv Respondents Michael Goldston Maggie Nuzum Nature of the Dispute: Member and Non-Member vs. Associated Person vs. Associated Person. REPRESENTATION OF PARTIES For Cambridg

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Estate of Donald K. Stuart, George A. Reilly, Executor (Claimant) vs. Lehman Brothers, Inc., and Michelle Stuart (Respondents) Case Number: 07-00944 Hearinq Site: New York, New York Nature of the Dispute: Customer vs. Member and Non-Member. REPRESENTATION OF PARTIES Claimant Estate of Donald K. Stuart, George A. Reilly, Executor, hereinafter referred to as "Claimant": Mark R. C

Award FINRA Dispute Resoiution In the Matter of the AriDitration Between: Name of the Claimant Case Number: 07-02470 Frederic White, Trustee, FE & Janet A. White Revocable Living Tmst, dated 7/2/1999 Name of the Respondents Hearinq Site: San Francisco, California Charies Schwab & Co., Inc. Nature of the Dispute: Customer v. Member REPRESENTATION OF PARTIES Claimant, Frederic White, Trustee, FE & Janet A. White Revocable Living Trust, dated 7/2/1

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Akram Karmo and Huda Kamno vs. Names of Respondents Robert W. Baird & Co. Incorporated, Edward Dziuba, and Alfred M. Alios Case Number: 06-00105 Hearing Site: Detroit, Michigan NATURE OF THE DISPUTE Customers vs. Member and Associated Persons REPRESENTATION OF PARTIES Akram Karmo and Huda Karmo ("Claimants") were represented by James D. Mur

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Eddie Miller vs. Name of Respondent PNC Investments Case Number. 07-00510 Hearing Site: Louisville, Kentucky NATURE OF THE DISPUTE Associated Person vs. Member REPRESENTATION OF PARTIES Eddie Miller ("Claimant") appeared in pro per. PNC Investments ("Respondent") was represented by Jeffrey S. Dunlap, Esq., Ulmer & Berne LLP, Cleveland, O