AWARD FINRA Dispute Resoiution In the Matter of the Arbitration Behveen: Name of Claimant / Counter-Respondent Basic Investors, Inc. vs. Case Number: 05-02564 Hearing Site: Indianapolis, Indiana Names of Respondents / Counter-Claimants Arthur Daryll Pryor and Peter Dvorak and Names of Cross-Claimants / Cross-Respondents Arthur Daryll Pryor vs. Peter Dvorak NATURE OF THE DISPUTE Member vs. Associated Person and Customer

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Richard Baker, individually and as custodian of his IRA vs. Case Number: 06-04226 Hearing Site: Indianapolis, Indiana Names of Respondents American General Equity Services Corp. and Daniel S. Bookout NATURE OF THE DISPUTE Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Richard Baker, individually and as custodian of his I

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Michael Gillepsie, individually and as custodian of his IRA vs. Case Number: 06-04227 Hearing Site: Indianapolis, Indiana Names of Respondents American General Equity Services Corp., f/k/a Franklin Financial Services Corporation, and Daniel S. Bookout NATURE OF THE DISPUTE Customer vs. Member and Associated Person REPRESENTATION OF PARTIES

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Morgan Stanley DW, Inc. vs. Name of Respondent John E. Cralne Case Number: 07-00904 Hearing Site: Louisville, Kentucky NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES Morgan Stanley DW, Inc. ("Claimant") was represented by Ronald P. Kane, Esq., Kane & Fischer, LTD, Chicago, Illinois. John E. Craine ("Responde

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Behween: Names of Claimants Patricia S. Beall, Mitchell Borders, Jerry L. Pinion, Paul G. Ponder, and Nancy A. Mueller vs. Case Number: 06-05020 Hearing Site: Louisville, Kentucky Names of Respondents A.G. Edwards & Sons, Inc. and Sherry D. Holley NATURE OF THE DISPUTE Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Patricia S. Beall ("Beall"), Mitch

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Tania Hartz Appell, Claimant v. A.G. Edwards & Sons, Inc. and John F. Lee. Respondents Case Number: 05-01209 Hearina Site: Los Anaeles. California Nature of the Dispute: Associated Person v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Debra A. Opri, Esq. Opri & Associates Beverly Hills, California For Respondents: Daryl S. Landy, Esq. Morgan

Award FINRA Dispute Resolution In the Matter of the Arbitration Behween: Mildred E. Bierce, MLPF & S Oust FPO Mildred E. Bierce, IRA FBO Mildred E. Bierce, Claimants v. Merrill Lynch, Pierce, Fenner & Smith Incorporated, Respondent Case Number: 06-01699 Hearing Site: San Francisco, California Nature of the Dispute: Customers v. Member REPRESENTATION OF PARTIES For Claimants: James Jay Seltzer, Esq. Timothy D. Murphy, Esq. Law Offices of James Ja

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-01442 Raymond 8. Marine, ("Claimant") vs. TD Ameritrade, Inc., ("Respondent") ATTORNEYS: Claimant appeared pro se. Mobile, AL. For Respondent appeared in-house counsel James J. Vihstadt, Esq., Bellevue, NE. NATURE OF DISPUTE: Customer vs. Member DATE FILED: May 3, 2007 CASE SUMMARY: Claimant alleged that Respondent breached a contract by the unauthorized sale of stocks. Claimant fu

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Ronald Lapera and Donna Lapera (Claimants) vs. Salomon Smith Barney, Keith Silver, and Thomas Locastro (Respondents) Case Number: 05-03923 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimants Ronald Lapera ("R. Lapera") and Donna Lapera ("D. Lapera"), hereinafter collectively referred lo as "Cla

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-01773 Clarke Dodge and Co., Inc. ("Claimant") vs. Jorge Ferreira ("Respondent") ATTORNEYS: For Claimant Clarke Dodge and Co., Inc. appeared Randle B. Carpenter, Jr., Esq., Larchmont, NY Respondent Jorge Ferreira appeared pro se, Staten Island, NY NATURE OF DISPUTE: Member v. Associated Person DATE FILED: June 8, 2007 CASE SUMMARY: Claimant alleged that Respondent failed to repay th