Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Larry D. Parker, Claimant v. A.G. Edwards & Sons, Inc. and Citigroup Global Markets, Inc., Respondents Case Number: 05-05902 Hearinq Site: Denver, Colorado Nature of the Dispute: Customer v. Members REPRESENTATION OF PARTIES For Claimant: Thomas M. Haskins, Esq. The Haskins Law Firm Colorado Springs, Colorado For Respondent A.G. Edwards & Sons, Inc.: James C. Browning,

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Lisa D. Lindley, Claimant v. Strand, Atkinson, Williams & York, Inc., Respondent Case Number: 07-01189 Hearina Site: Portland, Oregon Nature of the Dispute: Associated Person v. Member REPRESENTATION OF PARTIES For Claimant: B. Scott Whipple, Esq. Whipple & Duyck, P.C. Portland, Oregon For Respondent: Edwin A. Harnden, Esq. Barren Liebman Portland, Oregon CASE I

Award FINRA Dispute Resolution In the Matter of the Arbitration Bebveen: Fiduciary Financial Services of the Southwest, Claimant v. VSR Financial Services, Inc., The Masters, Inc. and Mark T. Warner, Respondents Case Number: 06-05422 Hearinq Site: Dallas, Texas Nature of the Dispute: Non-Member v. Member, Non-Member and Associated Person REPRESENTATION OF PARTIES For Claimant: John A. Koepke Jackson Walker L.L.P. Dallas, Texas For Respondent

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 07-01315 Banc of America Investment Services, Inc. Name of the Respondent Hearinq Site: Nashville, Tennessee Thomas Stephen Cooper Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Banc of America Investment Services, Inc., hereinafter referred to as "Claimant": Diane C. Fischer, Esq., Kane & Fischer, Ltd.,

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-04445 American IVIunicipal Securities, Inc. Names of the Respondents Hearinq Site: Raleigh, NC John A. Mitchell Drewry W. Mitchell Name of the Third-Party Respondent Gregg Hollidge, Esq. Nature of the Dispute: Member vs. Customer vs. Associate Person. REPRESENTATION OF PARTIES For Claimant American Municipal Securities ("AMS") an

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 05-04256 Jose A. Rivera Names of the Respondents Hearinq Site: Oriando, FL Galleon Merchant Banking n/k/a Granite Associates, Inc. James Morrell John D. Elwin Nicholas Natale Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Jose A. Rivera, hereinafter referred to as "Claimant": Scot

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Louis Kent and Virginia Kent vs. Case Number: 04-01862 Hearing Site: Dallas, Texas Names of Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. and M. Scott Bowles NATURE OF THE DISPUTE Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Louis Kent ("L. Kent") and Virginia Kent ("V. Kent"), hereinafter collectively referre

Award FiNRA Dispute Resolution In the Matter of the Arbitration Between: Barbara Delashmitt (Claimant) vs. Firstserv Securities, Inc., Bestvest Investment Brokerage Services, First Liberty Investment Group, David Lamb, Barry MacNeal, and MacNeal Associates, LLP (Respondents) Case Number: 06-00091 Hearina Site: Philadelphia, Pennsylvania Nature of the Dispute: Customer vs. Member, Non-Members, and Associated Persons. REPRESENTATION OF PARTIES Claiman

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Stifel, Nicolaus & Company, Inc., Stephen Frederick Jusick, Frank Melvin Whiteside, and Robert Allen Andresen (Claimants) vs. RBC Dain Rauscher, Inc. (Respondent) Case Number: 06-02146 Hearina Site: Newark. New Jersey Nature of the Dispute: Member and Associated Persons vs. Member. REPRESENTATION OF PARTIES Claimant Stifel, Nicolaus & Company, Inc. ("Stifel"): Jeffrey J. Kalinowski

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 07-00798 John Egri Names of the Respondents Hearing Site: Boca Raton, Florida CIBC Worid Markets Corp. Jeff Bank Susan Sutherland Arthur Lewis Nature of the Dispute: Customer vs. Member and Associated Persons. REPRESENTATION OF PARTIES For John Egri, hereinafter referred to as "Claimant": Darren C. Blum, Esq., Blum & Silver, P.A