AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Connie S. Roth and Bonnie L. Roth vs. Case Number: 07-00497 Hearing Site: Chicago, Illinois Names of Respondents American Family Securities, LLC, Daniel M. Coyne, Deborah R. Dudek, Tamera B. Montagna, and Richard M. Steffen NATURE OF THE DISPUTE Associated Persons vs. Member and Associated Persons REPRESENTATION OF PARTIES Connie S

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-02260 Anna L. Young Roth IRA, Frederick E. Young Roth IIRA, and Frederick E. Young and Anna L. Young Joint Tenants (Claimants) vs. TD Ameritrade, Inc. (Respondent) ATTORNEYS: For Anna L. Young Roth IfRA, Frederick E. Young Roth IRA, and Frederick E. Young and Anna L. Young Joint Tenants ("Claimants") appeared Benjamin B. Siegel, Esq., Columbus, OH For TD Ameritrade, Inc. ("Respondent")

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-02045 Jane Moyle, ("Claimant") vs. WM Financial Services, Inc., ("Respondent") ATTORNEYS: Claimant appeared pro se, Escondido, CA. For Respondent appeared Susan L. Formaker, Esq., Chatsworth, CA. NATURE OF DISPUTE: Customer vs. Member DATE FILED: July 8, 2007 CASE SUMMARY: Claimant alleged failure to supervise, misrepresentation, negligence, breach of fiduciary duty, omission of fa

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Casimir Capital L.P. (Claimant) v. Anthony M. Miller (Respondent) Case Number: 05-01525 Hearing Site: New York, New York Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Casimir Capital L.P., hereinafter referred to as "Claimant": Lauren Tanen, Esq., Greenberg Traurig, LLP, New York, NY. Respondent Anthony M. Miller hereinafter referred to

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Morgan Keegan & Company, Inc., Claimant v. William Eariy VanCleve, Respondent Case Number: 07-00687 Hearing Site: Dallas, Texas Nature of the Dispute: Member v. Associated Person REPRESENTATION OF PARTIES For Claimant: Shea O'Brien Hlcl^s, Esq. Morgan Keegan & Company, Inc. Memphis, Tennessee For Respondent: No appearance CASE INFORMATION Statement of Claim filed: M

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Richard Ban- and Corene Ban-, Claimants v. Morgan Stanley DW Inc. and Gary S. Allen, Respondents Case Number: 03-06262 Hearina Site: Los Angeles, California Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES For Claimants: Richard Barr Murrieta, California For Respondents: Braden O. Wilhelm, Esq. Morgan Stanley DW Inc. San Fra

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 07-02249 Kenneth Hughes Name of the Respondent Hearing Site: Tampa, Florida Morgan Stanley DW, Inc, Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES For Kenneth Hughes, hereinafter referred to as "Claimant": Russell Waxman, Esq. and Edward Glenn, Esq., Zamansky & Associates, LLC, New York, New York. For Morgan Stanle

AWARD FINIRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant David G. Peregrin vs. Case Number: 06-05099 Hearing Site: Chicago, Illinois Names of Respondents Milestone Group Management, LLC and William E. Kassar, Jr. NATURE OF THE DISPUTE Customer vs. Terminated Member and Associated Person REPRESENTATION OF PARTIES David G. Peregrin ("Claimant" or "Peregrin") was represented by James A. McGurk, Esq.,

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Maria L. Tsalis vs. Name of Respondent H&R Block Financial Advisors, Inc. Case Number: 06-03220 Hearing Site: Detroit, Michigan NATURE OF THE DISPUTE Associated Person vs. Member REPRESENTATION OF PARTIES Maria L. Tsalis ("Claimant") was represented by Joseph A. Golden, Esq. and Maureen Crane, Esq., Pitt, McGhee, Palmer, Rivers & Golden, PC,

STIPULATED AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Gary Tomcik, Executor of the Estate of George C. Tomcik vs. Name of Respondent Commonwealth Financial Network Case Number: 07-01003 Hearing Site: Pittsburgh, Pennsylvania NATURE OF THE DISPUTE Customer vs. Member REPRESENTATION OF PARTIES Gary Tomcik, Executor of the Estate of George C. Tomcik ("Claimant") was represented by R