Award FINRA Dispute Resolution In the Matter of the Arbitration Between: James P. Murray, Claimant v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney Inc., Respondent Case Number: 04-08605 Hearing Site: Los Angeles, California Nature of the Dispute: Associated Person v. Member REPRESENTATION OF PARTIES For Claimant: Michael Blumenfeld, Esq. Catherine Rhodes, Esq. Freeman, Freeman & Smiley Los Angeles, California For Respondent

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Richard L. Lackey and Diane Lackey, Individually and as Trustees of The Lackey Family Trust vs. Case Number: 05-02643 Hearing Site: Dallas, Texas Names of Respondents National Financial Services, LLC, Casimir Capital, L.P. and James Ahern NATURE OF THE DISPUTE Customers vs. Members and Associated Person REPRESENTATION OF PARTIES Ri

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Miriam Nigohosian (Claimant) vs. Merrill Lynch Pierce Fenner & Smith (Respondent) Case Number: 06-02349 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Miriam Nigohosian hereinafter referred to as "Claimant": Jennifer M. Jordan, Esq., Conway & Conway, New York, NY. Respondent Merrill Lynch Pierce Fenner & Smith her

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Elizabeth Greer (Claimant) vs. Judith Cassidy and New England Financial, Inc. (Respondents) Case Number: 06-03501 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Associated Person and Member. REPRESENTATION OF PARTIES Claimant Elizabeth Greer hereinafter referred to as "Claimant": Romaine L. Gardner, Esq., Lincoln Square Legal Services, Inc., NewYork, NY.

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Louie Kau Wang and June Ting Wang (Claimants) vs. Merrill Lynch, Pierce, Fenner & Smith, Inc., and Howard Jack Moses (Respondents) Case Number: 06-02594 Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Customers vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Louie Kau Wang ("L. Wang") and June Ting Wang ("J. Wang"), hereinafter collectively

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-01660 Merrill Lynch, Pierce, Fenner & Smith, Inc., ("Claimant") vs. Sam Aaron and Erika M. Adams, ("Respondents") ATTORNEYS: For Claimant appeared Michael S. Colombo, of the firm StreetWide Asset Recovery Group, Inc., Lyndhurst, NJ. Respondents did not submit an Answer to the Statement of Claim. NATURE OF DISPUTE: Member vs. Customers DATE FILED: May 25, 2007 CASE SUMMARY: Clai

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-01827 Betty Jean Davis IRA (Claimant) vs. TD Ameritrade, Inc. (Respondent) ATTORNEYS: Betty Jean Davis IRA ("Claimant") appeared pro se, Billings, MT For TD Ameritrade, Inc. ("Respondent") appeared in-house counsel Kelly R. Davis, Esq., Bellevue, NE NATURE OF DISPUTE: Customer v. Member DATE FILED: June 15,2007 CASE SUMMARY: Claimant alleged misrepresentation or misleading informat

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-01589 Fiduciary Trust Co NH Gust, IRA Rollover, FBO John P. Lake, ("Claimant") vs. Waddell & Reed, Inc. and Jeff L. Whitaker, ("Respondents") ATTORNEYS: Claimant appeared pro se, Hemet, CA. For Respondents appeared Jill W. Lens, Esq., of the firm Blackwell Sanders Peper Martin, LLP, St. Louis, MO. NATURE OF DISPUTE: Customer v. Member and Associated Person DATE FILED: May 18, 2007

stipulated Award FINfRA Dispute Resolution In the Matter of the Arbitration Between: Fidelity Brokerage Services LLC, Claimant v. Thomas K. Vance, Respondent Case Number: 07-02952 Hearing Site: Los Angeles, California Nature of the Dispute: Member v. Associated Person REPRESENTATION OF PARTIES For Claimant: Brian I. Hays Locke Lord Bissell & Liddell LLP Chicago, Illinois For Respondent: Thomas K. Vance Laguna Niguel, California CASE INFO

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Salvador Marroquin, Sr., Claimant v. Morgan Stanley & Co., Incorporated f/k/a Morgan Stanley DW, Inc. and Isidro Miramontes, Respondents Case Number: 06-04213 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Matthew J. Pero, Esq. Law Offices of Matthew J. Pero Monrovia, California