stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Behveen: Ronald L. and Shelli M. Elledge Case Number: 07-01955 Claimants Edward D. Jones, LLP, Kevin M. Wittig Hearina Site: Phoenix, Arizona and Brian J. Tollefson, Respondents Nature of the Dispute: Customers v. Member and Associated Persons REPRESENTATION OF PARTIES For Claimants: Eddie A. Pantiliat, Esq. Hymson Goldstein & Pantiliat, P.C. Scottsdale, Arizo

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: See More Light Investments, Claimant v. Morgan Stanley DW Inc., Respondent Case Number: 06-02597 Hearina Site: Phoenix, Arizona Nature of the Dispute: Customer v. Member REPRESENTATION OF PARTIES For Claimant: Seymour Licht, PhD. See More Light Investments Scottsdale, Arizona For Respondent: Anthony L. Valenzuela, Esq. Debbie Whitaker Morgan Stanley DW Inc. San

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Penson Financial Services, Inc., Claimant v. MISR Securities International, Respondent Case Number: 06-05369 Hearina Site: Dallas, Texas Nature of the Dispute: Member v. Customer REPRESENTATION OF PARTIES For Claimant: Will S. Montgomery Hunton & Williams LLP Dallas, Texas For Respondent: Debra G. Speyer Law Offices of Debra G. Speyer Philadelphia, Pennsylvania

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Laura Dao as Trustee of The Moonlight Miracle Tmst and Catherine Dao Trustee of The Amazing Destiny Tmst, Claimants v. Sll Investments, Inc., Jeffrey E. Reed, Cario J. Sparacino, David W. Crist, Edward A. Reguero, and The WIN-Team Insurance Services, Inc. Respondents Case Number: 07-00519 Hearing Site: Los Angeles. California Nature of the Dispute: Customers v. Member, Associated P

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Theron Ask and Sandra Ask vs. Names of Respondents Gardner Financial Services, Inc. and Gerald Thomas Zyskowski Case Number: 07-02441 Hearing Site: Minneapolis, Minnesota NATURE OF THE DISPUTE Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Theron Ask and Sandra Ask ("Claimants") were represented by Michael S. McDonald

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Kjersten Lazar (Claimant) vs. Citigroup Global Markets, Inc., and Catherine Galgano (Respondents) Case Number: 07-01213 Hearinq Site: New York, New York Nature of the Dispute: Associated Person vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Kjersten Lazar hereinafter referred to as "Claimant": Edward Boyle, Esq., and Jefl'rey Wilson, Esq., Wilson, Elser, M

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Edgar Rene Barron Name of the Respondent H&R Block Financial Advisors, Inc. Case Number: 07-00960 Hearina Site: Orlando, Florida Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Edgar Rene Barron, hereinafter referred to as "Claimant," appeared pro se. For H&R Block Financial Advisors, Inc. ("HRB"), hereinafter refe

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 05-04568 Raymond James & Associates, inc. Name of the Respondent Hearinq Site: Tampa, Florida Cantor Fitzgerald & Co. Nature of the Dispute: Member vs. Member. REPRESENTATION OF PARTIES For Raymond James & Associates, Inc., hereinafter referred to as "Claimant": Shepherd D. Tate. Esq. and Michael A. Brady, Esq., Bass, Berry & Sims, PLC, Mem

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-01933 Robert L. Kellogg and Evelyn Lea Kellogg, TTees, UDT DTD 3/11/80 FBO The Kellogg Trust ("Claimants") vs. Croweil, Weedon & Co. ("Respondent") ATTORNEYS: Robert L. Kellogg and Evelyn Lea Kellogg, TTees, UDT DTD 3/11/80 FBO The Kellogg Trust ("Claimants") appeared pro se, Potomac, MD For Croweil, Weedon & Co. (Respondent") appeared James R. Kruger, Los Angeles, CA NATURE OF DISPUTE

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-03931 Patricia E. Murphy Names of the Respondents Hearinq Site: Raleigh, NC James T. Patten Greater Metropolitan Investment Services, Inc. T.R. Winston & Co., LLC Empire Financial Group, Inc. Charles John Sinko Chintaman M. Dalvi Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES F