AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Barbara Gordon vs. Case Number: 03-00077 Hearing Site: Houston, Texas Names of Respondents Merrill Lynch Pierce Fenner & Smith, Inc., David H. Komansky, and Deepak D. Raj NATURE OF THE DISPUTE Customer vs. Member and Associated Persons REPRESENTATION OF PARTIES Barbara Gordon ("Claimant") was represented by Jakes Jordaan, Esq., Jordaan & Ril

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 07-02559 Gary A. Fitzer Names of the Respondents Hearina Site: Charlotte, North Carolina Edward D. Jones, LLP Hartford Investment Financial Services Hartford Securities Distribution Co. Hartford Equity Sales Company, Inc. Merry Lynne Mosbacher Paul Douglas Weise John William Bachmann Douglas Elwyn Hill James Donald Weddle

Award FINRA Dispute Resolution In the Matter of the Ariaitration Between: Names of the Claimants Case Number: 07-00987 Roger Spinks, Jr. Roger Spinks, Sr. Lawrence Juette Timothy Drenth and Karen Driftmyer Drenth Estate of Gary Driftmyer Joan B. Reid, individually and as Trustee of the Joan B. Reid Revocable Living Trust dated October 2002 Richard McDonald Lois Salaun Stephen Salaun Ann Potteiger Linda Shirar Names of the

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Ben Miller Irrevocable Trust, Patricia A. Miller.Trustee, Harry Culbreath, and Donna Rae Bell (Claimants) vs. Foresters Equity Services, inc. (Respondent) vs. Louis Mercado (Third Party Respondent) Case Number: 05-01363 Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Customers vs. Member vs. Associated Person. REPRESENTATION OF PARTIES Claimants Ben Miller Irrev

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Heath Gary Goldstein (Claimant) vs. Charles J. Ehnot, Jr., Deborah A. Ehnot, First Financial Services, Inc., and DA-E Financial Group, Ltd. (Respondents) Case Number: 07-01512 Hearina Site: Newark, New Jersey Nature of the Dispute: Associated Person vs. Associated Person and Non-Members. REPRESENTATION OF PARTIES Claimant Heath Gary Goldstein hereinafter referred to as "Claimant" a

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Kayvan Karoon (Claimant) vs. Joseph Fitzgerald (Respondent) Case Number: 07-01950 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Associated Person. REPRESENTATION OF PARTIES Claimant Kayvan Karoon hereinafter referred to as "Claimant": Paul A. Lieberman, Esq., Law Office of Paul A. Lieberman, MIddletown, NJ. Respondent Joseph Fitzgerald hereinafte

Amended Stipulated Award FINRA Dispute Resolution In the Mafter of the Arbitration Between: Lewis E. Worms, individually and as Sole Trustee for the Lewis E. and Corrine I. Worms Trust, Claimants v. J.P. Turner & Company, L.L.C, Efthimlos G. Petrou a/k/a Tim Petrou, and Eric C. Gretchyn, Respondents Case Number: 05-02000 Hearing Site: Los Angeles, California Nature of the Dispute: Customers vs. Member and Associated Persons REPRESENTATION OF PARTIES

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: William R. Erickson, Claimant v. Merrill Lynch, Pierce, Fenner & Smith Incorporated a/k/a Merrill Lynch & Co. and David H. Komansky, Respondents Case Number: 01-02943 Hearing Site: Los Anoeles. California Nature of the Dispute: Associated Person v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Mary B. Erickson, Esq. Law Offices of Mary B. Erickson Lag

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Wells Fargo Investments, LLC, Claimant v. Jeffrey J. Arburn, Respondent and Jeffrey J. Arburn, Counter-Claimant v. Wells Fargo Investments, LLC, Counter- Respondent Case Number: 06-04188 Hearina Site: San Francisco, California Nature of the Dispute: Member v. Associated Person Associated Person v. Member REPRESENTATION OF PARTIES For Claimant/Counter-Responde

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Wachovia Securities, LLC, Claimant v. Larry R. Margozewitz, Respondent Case Number: 06-04739 Hearina Site: Houston, Texas Nature of the Dispute: Member v. Associated Person REPRESENTATION OF PARTIES For Claimant: Renan Sugarman, Esq. Douglas D. Callaway, Esq. Wachovia Securities, LLC Richmond, Virginia For Respondent: Larry R. Margozewitz In Pro Se San Antonio,