Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Empire Financial Group, Inc. (Claimant) vs. David Mikhlin (Respondent) Case Number: 07-00886 Hearinq Site: New York, New York Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Empire Financial Group, Inc., hereinafter referred to as "Claimant": Richard J. Babnick, Jr., Esq., Sichenzia Ross Friedman Ference LLP, New York, NY. Respondent Davi

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Torsten Scholi and DEQ GMBH & CO. Venture KG (Claimants) vs. Merrill Lynch, Pierce, Fenner & Smith, Inc., and J.P. Morgan Securities, Inc. (Respondents) Case Number: 06-05015 Hearing Site: Nev*/ York, New York Nature of the Dispute: Customers vs. Members. REPRESENTATION OF PARTIES Claimants, Torsten Scholl ("Scholi") and DEQ GMBH & CO. Venture KG ("DEQ"), hereinafter collective

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant/Counter-Respondent Wells Fargo Investments, LLC vs. Name of Respondent/Counter-Claimant Carlisle W. Kelson Case Number: 06-03396 Hearing Site: Indianapolis, Indiana NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES Wells Fargo Investments, LLC ("Wells Fargo") was represented by Ronald P. Kane, Esq., Kane & Fischer,

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-05117 Jack B. Shirley, Jr. Name of the Respondent Hearing Site: Little Rock, Arkansas Pruco Securities, LLC Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Jack B. Shirley, Jr., hereinafter referred to as "Claimant," appeared pro se until on or about April 30, 2007. Thereafter, Stephen Fisher, Esq., Little

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Scottrade, Inc., Claimant v. Andy Nguyen aka Andy Nguyan, Respondent Case Number: 07-00804 Hearina Site: Los Angeles, California Nature of the Dispute: IVIember v. Customer REPRESENTATION OF PARTIES For Claimant: Thomas L. Azar, Jr. Thompson Coburn LLP St. Louis, IVIissouri For Respondent: Andy Nguyen In Pro Se Covina, California CASE INFORMATION

Award FINRA Dispute Resoiution In the Matter of the Arbitration Between: Elwood Weber and Grace Weber (Claimants) vs. Advest, Inc., Merrill Lynch Pierce Fenner & Smith, Inc., AXA Financial, Inc., Edward Carisen, Sr., Roger Faulring, and Doran Young (Respondents) Case Number: 06-00811 Hearinq Site: Buffalo. New York Nature of the Dispute: Customers vs. Members, Non-Member, and Associated Persons REPRESENTATION OF PARTIES Claimants Elwood Weber ("E. W

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Natn^ of plalmant Stanton H. Vollman. Administrator for the Estate of Sydney G. Smith, Jr. vs. Case Number. 06-03942 Hearing Site: Cincinnati, Oiiio Mamas of Restwndents Brooi(8treet Securities Corp. and Raffi Oghlian NATURE OF THE DISPUTE Customer vs. Member and Associated Person REPRESENTATION QF PARTIES Stanton H. Vollman, Administrator for the Estate of

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-01848 Ronald Baum, ("Claimant") vs. TD Waterhouse DBA TD Ameritrade, Inc., ("Respondent") ATTORNEYS: ~ Claimant appeared pm se. Great Neck, NY. For Respondent appeared In-house counsel Jam's Campanella, Esq!, Boca Raton, FL.. NATURE OF DISPUTE: Associated Person vs. Member DATE FILED: June 19, 2007 CASE SUMMARY: Claimant alleged that Respondent placed incorrect and defamatory i

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Wachovia Securities, LLC (Claimant) vs. Peter Janowsky (Respondent) Case Number: 06-03306 Hearinq Site: New York, New York Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Wachovia Securities, LLC hereinafter referred to as "Claimant": Jonathan E. Levine, Esq., Law Office of Daniel S. Fiore, Arlington, VA. Respondent Peter Janowsky hereina

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-01359 Michael and Helene Sabin, Individual Retirement Account (Claimants) vs. Basic Investors, Inc. (Respondent) ATTORNEYS: For Claimants Michael and Helene Sabin, Individual Retirement Account ("Claimants") appeared M. David Sayid, Esq., New York, NY For Respondent Basic Investors, Inc. ("Respondent") appeared Charles M. O'Rourke, Esq., Woodbury, NY NATURE OF DISPUTE: Customer v.