FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-01577 Tom W. White and Jane C. White JT TEN (Claimants) vs. A.G. Edwards & Sons, Inc. (Respondent) ATTORNEYS: Claimants Tom W. White and Jane C. White JT TEN ("Claimants") appeared pro se. New Berlin, Wl. For Respondent A.G. Edwards & Sons, Inc. ("Respondent") appeared in-house counsel James C. Browning, Jr., Esq., St. Louis, MO. NATURE OF DISPUTE: Customer v. Member DATEFILED

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Joe Robert Stringer, Claimant v. JP Morgan Securities Inc., Citigroup Global Markets Inc., and Mellon Securities LLC, Respondents Case Number: 07-01038 Hearinq Site: Dallas, Texas Nature of the Dispute: Customer v. Members REPRESENTATION OF PARTIES For Claimant: For Respondent J.P. Morgan Securities Inc. For Respondent Citigroup Global Markets Inc. For Respondent Me

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Debra M. Reda-Cappos, Claimant v. Wachovia Securities, LLC and Terry L. Chase, Respondents Wachovia Securities, LLC, Counter-Claimant v. Debra M. Reda-Cappos, Counter- Respondent Case Number: 06-00895 Hearina Site: Los Angeles, California Nature of the Dispute: Associated Person v. Member and Associated Person Member v. Associated Person REPRESENTATION OF PARTIES Fo

Stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: William F. Gariand, Claimant v. SDR Capital Management, Inc., Charies Schwab & Co., Inc., Arthur C. Rutzen, Jr., Dale B. Low, Benjamin D. Wilson, Eric T. Salz, and Samuel V, Berger, Respondents Case Number: 03-02127 Hearina Site: San Francisco, Califomia Nature of the Dispute: Customer v. Non-Members, Member and Associated Persons REPRESENTATION OF PARTIES For Claima

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Donna Perimutter, Jona Perimutter, and Perimutter Family Tmst, Claimants v. Roth Capital Partners, LLC, Respondent Case Number: 05-04618 Hearinq Site: Los Angeles, Califomia Nature of the Dispute: Customers v. Member REPRESENTATION OF PARTIES For Claimants: Loren J. Beck, Esq. Marc A. Fenster, Esq. Russ. August & Kabat Los Angeles, California For Respondent: Terry R

AWARD FINRA Dispute Resolution in the Matter of the Arbitration Between: Name of Claimant Ray Johnson, Trustee for Sylvia Alford Bush Trust vs. Case Number: 06-05133 Hearing Site: Louisville, Kentucky Name of Respondent Merrill Lynch, Pierce, Fenner & Smith, inc. THE DISPUTE Customer vs. Member REPRESENTATION OF PARTIES Ray Johnson, Tmstee for Sylvia Alford Bush Trust ("Claimant") was represented by Nancy Oliver Roberts, Esq., Bowlin

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant The Estate of Donna M. Cermak, Patricia Prinds, Executor vs. Names of Respondents First Midamerica Investment Corp. and Douglas William Hemke Case Number: 06-05018 l-learing Site: Kansas City, Missouri NATURE OF THE DISPUTE Customer vs. Member and Associated Person REPRESENTATION OF PARTIES The Estate of Donna M. Cermak, Patricia Prinds,

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Citigroup Global Markets, Inc., successor in interest to Legg Mason Wood Walker, Inc. Name of the Respondent David W. Mulford Case Number: 06-03794 Hearinq Site: Atlanta, Georgia Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Citigroup Global Markets, Inc., successor in interest to Legg Mason Wood Walker,

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Linda Chandler Name of the Respondent Prudential Equity Group, LLC Case Number: 07-01120 Hearinq Site: Washington, D.C. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Linda Chandler, hereinafter referred to as "Claimant": Vincent J. Imbesi, Esq., Avelino & Associates, P.C, New York, NY. For Prudential Equity Group,

Award FINRA Dispute Resolution In the Mati:er of the Arbitration Between: Name of the Claimant Case Number: 06-05234 Capital Growth Financial, LLC Name of the Respondent Hearinq Site: Boca Raton, Florida Gregg Thomas Zadrozny Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Capital Growth Financial, LLC ("CGF"). hereinafter referred to as "Claimant": Charies E. Scariett, Esq., Scariett & Gucciardo, P,A., Boca Ra