FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-01805 H.D. Vest Investment Securities, Inc., ("Claimanf) vs, Charies R. Van Dyke and The Van Dyke Family Trust, ("Respondents") ATTORNEYS: For Claimant appeared Thomas F. Kopshever, Esq., of the Wells Fargo Law Department San Francisco, CA. Respondents did not submit an Answer to the Statement of Ciaim. NATURE OF DISPUTE: Member vs. Customers DATE FILED: June 12,2007 CASE SUMMA

Stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Joseph Amato, Georgette Amato, and JJR Realty Co. (Claimants) v. Merrill Lynch & Co., Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated, Henry Blodget, Mike Leber, and Joseph Beri^ery (Respondents) Case Number: 04-00832 Hearina Site: New York, New York Nature of the Dispute: Customer vs. Non-Member, Member, and Associated Persons. REPRESENTATION OF PARTIES Cla

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Peter J. Martin (Claimant) vs. Columbia Funds Distributors, Inc., and Columbia Management Group, Inc. ("Respondents") Case Number: 06-00871 Hearina Site: Boston, Massachusetts Nature of the Dispute: Associated Person vs. Member and Non-Member. REPRESENTATION OF PARTIES Claimant Peter J. Martin hereinafter referred to as "Claimant": Richard W. Kearney, Esq., Kearney & MacDonald,

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Anthony Tango (Claimant) v. A.G. Edwards & Sons, Inc. (Respondent) Case Number: 06-01430 Hearinq Site: Newark. New Jersey Nature of Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Anthony Tango hereinafter referred to as "Claimant": Mitchell H. Cobert, Esq., Law Office of Mitchell Cobert, Morristown, NJ. Respondent A.G. Edwards & Sons, Inc.,

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Oppenheimer & Co., Inc. (Claimant) v. Anthony V. Demarco (Respondent) Case Number: 05-01488 Hearinq Site: Boston, Massachusetts Nature of the Dispute: Member v. Associated Person. REPRESENTATION OF PARTIES Claimant Oppenheimer & Co. Inc., hereinafter referred to as "Claimant": Peter Byer, Esq., Oppenheimer & Co., Inc., New York, NY. Previously represented by William P. Breen, J

FINRA DISPUTE RESOLUTION AWARD FlWRA DISPUTE RESOLUTION CASE: 07-01570 Oleg Bychkov (Claimant) vs. Frank Rocco Monte (Respondent) AITORNEYS: '~" Claimant Oleg Bychkov appeared pro se, Brooklyn, NY. Respondent Frank Rocco Monte appeared pro se. New York, NY. NATURE OF DISPUTE: Associated Person v. Associated Person DATE FILED: May 18, 2007 CASE SUMMARY: Claimant alleged breach of contract and commission owed. Claimant maintained that due to Respo

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: George Nordike (Claimant) vs. Merrill Lynch Pierce Fenner & Smith, Inc., and Israel Epstein (Respondents) Case Number: 06-03972 Hearing Site: New York, New York Nature of the Dispute: Customervs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant George Nordike hereinafter referred to as "Claimant" appeared pro se. Previously represented by Anthony J. Hom, Esq., L

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Morgan Stanley DW, Inc., and Morgan Stanley Funding Services Corporation (Claima.nts) vs. Daniel B. Silverberg (Respondent) Case Number: 06-05125 Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Member and Non Member vs. Associated Person. REPRESENTATION OF PARTIES Claimants Morgan Stanley DW, Inc., ("Morgan Stanley") and Morgan Stanley Funding Service

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Lewis Zipkin (Claimant) vs. Oppenheimer & Co., Inc., and Ernest A. Mishne (Respondents) Case Number: 05-05548 Hearina Site: Cleveland, Ohio Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Lewis Zipkin hereinafter referred to as "Claimant": Thomas C Wagner, Esq., Van Deusen & Wagner, LLC, Cleveland, OH. Responde

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 07-00149 Averill Fisk Name of the Respondent Hearing Site: Boca Raton, Florida TradeStation Securities Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Averill Fisk, hereinafter referred to as "Claimant": Lonnie K. Martens, Esq., The Martens Law Firm, Jupiter, Florida. For TradeStation Securities, hereinafter re