STIPULATED AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Jodeen Fletcher vs. Name of Respondent Commonwealth Financial Network Case Number: 07-00879 Hearing Site: Omaha, Nebraska NATURE OF THE DISPUTE Customer vs. Member REPRESENTATION OF PARTIES Jodeen Fletcher ("Claimant") was represented by Robert A. Uhl, Esq., Aidikoff, Uhl & Bakhtiari, Beveriy Hills, California. Commonwealth Fi

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Gretchen L. Fairbairn and James Fairbaim, Claimants v. CIBC World Markets Corp., Respondent Case Number: 05-06065 Hearing Site: Denver, Colorado Nature of the Dispute: Customers v. Member REPRESENTATION OF PARTIES For Claimants: Robert A. Uhl, Esq. Aidikoff Uhl & Bakhtiari Beverly Hills, California For Respondent: Lloyd S. Clareman, Esq. Law Offices of Ll

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Margie K. Aguirre, Claimant v. Piper Jaffray & Co. n/k/a Piper Jaffray Inc., Respondent Case Number: 06-03854 Hearing Site: Helena, Montana Nature of the Dispute: Associated Person v. Member REPRESENTATiON OF PARTIES For Claimant: Linda M. Deola, Esq. Reynolds, Molt and Shenwood PLLP Helena, Montana Marjorie Thomas, Esq. Tim Dick, Esq. Dick & Thomas Butte, M

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-03345 Banc of America Investment Services, Inc. Name of the Respondent Hearing Site: Memphis, Tennessee Michael Eugene Winemiller Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Banc of America Investment Services, Inc., hereinafter referred to as "Claimant": Gregory Simon, Esq., Kane and Fischer, LLC,

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: RBC Dain Rauscher Inc., Claimant v. Melvin Reiter, Respondent Melvin Reiter, Counter-Claimant v. RBC Dain Rauscher Inc., Counter-Respondent Melvin Reiter, Third-Party Claimant v. Dain Rauscher Financial Group, Carmine Grillo, Robert Weaver, Christopher Horner, and Charies William Hubbard, Third-Party Respondents Case Number: 06-02931 Hearing Site: Los Angeles, California Na

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Francis R. Filosa, Claimant v. Charies Schwab & Co., Inc., Janus Distributors LLC and Alan Avedissian, Respondents Case Number: 06-03882 Hearino Site: Los Angeles, California Nature of the Dispute: Customer v. Members and Associated Person REPRESENTATION OF PARTIES For Claimant: Francis R. Filosa In Propria Persona Glendale, California For Respondents Charies Schwab & C

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Jonathan E. Peace, Susan Matin Peace, and Guity Moghadam, Claimants v. Merrill Lynch, Pierce, Fenner& Smith Incorporated, Neil J. Surgenor, and Jim Lau, Respondents Case Number: 01-00028 Hearing Site: San Diego, California Nature of the Dispute: Customers v. Member and Associated Persons REPRESENTATION OF PARTIES For Claimants: Jonathan E. Peace In Propria Persona and as Pa

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-01121 National Securities Corporation ("Claimant") vs. Jeffrey Leo ("Respondent") ATTORNEYS: For Claimant National Securities Corporation appeared Michael S. Colombo of StreetWide Asset Recovery Group, Inc., Lyndhurst, NJ Respondent Jeffrey Leo appeared pro se, Wayside, NJ NATURE OF DISPUTE: Member v. Associated Person DATE FILED: April 9, 2007 CASE SUMMARY: Claimant alleged that R

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Austin, Hatch & Smith, LLC d/b/a Christopher Street Financial (Claimant) vs. Susan M. Simons and Elizabeth A. Jones (Respondents) Case Number: 06-00492 Hearing Site: New York, New York Nature of the Dispute: Member vs. Associated Persons. REPRESENTATION OF PARTIES Claimant Austin, Hatch & Smith, LLC d/b/a Christopher Street Financial hereinafter referred to as "Claimant": John

AWARD FINRA DISPUTE RESOLUTION In the Matter of the Arbitration Between: Tore Investments and Research, LLC (Claimant) vs. DE Trading, LLC (Respondent) Case Number: 07-02106 SITUS: New York, New Yorl< NATURE OF DISPUTE: IVIember v. Terminated IVIember. REPRESENTATION OF PARTIES Tore Investments and Research, LLC, hereinafter referred to as "Claimant": Ben Delfin, Esq., Sonneschein Nath & Rosenthal, LLP, New York, NY. Respondent DE Trading, LLC,