AWARD FINRA Dispute Resolution In the l\/latter of the Arbitration Between: Name of Claimant Anthony Joseph Bosco vs. Case Number: 07-01351 Hearing Site: Columbus, Ohio Name of Respondent Nationwide Investment Services Corporation NATURE OF THE DISPUTE Associated Person vs. Member REPRESENTATION OF PARTIES Anthony Joseph Bosco ("Claimant") appeared pro se. Nationwide Investment Services Corporation ("Respondent") was represented by N

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant John Q, Smith vs. Case Number: 06-04383 Hearing Site: Chicago, Illinois Name of Respondent Goldman. Sachs & Co. NATURE OF THE DISPUTE Associated Person vs. Member REPRESENTATION OF PARTIES John Q. Smith ("Claimant" or "Smith") was represented by Rodney J. Heggy, Esq., Federman & Sherwood, Oklahoma City. Oklahoma. Goldman, Sachs & Co. ("Respo

AWARD FINRA DISPUTE RESOLUTION In the Matter of the Arbitration Between: Wachovia Securities, LLC, Claimant vs. Jacob Perdie, Respondent Case Number: 07-01794 SITUS: Boca Raton, Florida. NATURE OF DISPUTE: Member vs. Associated Person. REPRESENTATION OF PARTIES Wachovia Securities, LLC, hereinafter referred to as "Claimant": Gregory Tendrich, Esq., Law Office of Gregory Tendrich, PA, Boca Raton, Florida. Respondent Jacob Perdie ("Perdie") did no

Award FINRA Dispute Resolution In the Matter of the Ariaitration Between: Jose Ruelas, Claimant v. Wachovia Securities, LLC and Stephen W. Wilson. Respondents Case Number: 07-00362 Hearina Site: Los Angeles, California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: For Respondent Wachovia Securities, LLC: For Respondent Stephen W. Wilson: Paul W. Thomas, Esq. Thomas & Ataie LLP

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Philip I. Maggio, Jr. vs. Names of Respondents E'^Trade Securities, LLC, and Cambrex Corporation and Name of Claimant Philip I. Maggio, Jr. vs. Name of Respondent E*Trade Securities, LLC Case Number: 07-01808 Hearing Site: Detroit, Michigan Consolidated with: Case Number: 07-01998 Hearing Site: Detroit, Michigan NATUR

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-02180 Robert M. Aspin and Marialine A. Verdickt, ("Claimants") vs. Interactive Brokers LLC, ("Respondent") ATTORNEYS: Claimants appeared pro se, Tubli Bahrain, Saudi Arabia. For Respondent appeared in-house counsel, John J. Nielands, Esq., Washington, DC. NATURE OF DISPUTE: Customers vs. Member DATE FILED: July 24, 2007 CASE SUMMARY: Claimants alleged that Respondent breached its f

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-02102 Donald Storer, ("Claimant") vs. E*Trade Securities LLC, ("Respondent") ATTORNEYS: Claimant appeared pro se, Wantagli, NY. For Respondent appeared in-house counsel, Jolin Bersin, Esq., Roseville, CA. NATURE OF DISPUTE: Customer vs. Member DATE FILED: July 16, 2007 CASE SUMIVIARY: Claimant alleged that Respondent misrepresented facts regarding buying and selling of stock. Claim

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-04088 William J. Pickert Names of the Respondents Hearinq Site: Wilmington, DE McLaughlin, Piven, Vogel Securities. Inc. Steven D. Ircha Name of the Third-Partv Respondent TD AMERITRADE, Inc. f/k/a Ameritrade, Inc. Nature of the Dispute: Customer vs. Member and Associated Person vs. Member. REPRESENTATION OF PARTIES For William J

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 06-04080 Delie Anthony Ruby Arrington Curtis Barnes Robert Lee Beamon Ruth R. Beamon Eddie Cooper Mamie Cooper Shiriey A. Davis Linda Durham Excell Finch Alma Finch William E. Gaines William Harrell Jr. Samuel Harrell as Personal Representative of Willie Harrell, Deceased Rita M. Harris Mary B. Henderso

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 05-06708 William J. Strawbridge, Jr. Names of the Respondents Hearinq Site: Boca Raton, Florida Ferris, Baker Watts, Inc. Alfred Morse Osgood, Jr. Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For William J. Strawbridge, Jr. ("Strawbridge"), hereinafter referred to as "Claimant": Christopher