AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Robert Sam, Jr. and Karen K. Auksl-Sam, Individually and on Behalf of their Roth IRAs. SEP IRA, and North Star Basements, Inc. vs. Case Number: 06-02742 Hearing Site: Chicago, Illinois Name of Respondent Edward D. Jones & Co., L.P. NATURE OF THE DISPUTE Customers vs. Member REPRESENTATION OF PARTIES Robert Sam, Jr. and Karen K. Auksi-Sam,

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Naines of Claimants M. Kathleen McKinney and Merrimac Corporation vs. Case Number: 06-00182 Hearing Site: Indianapolis, Indiana Name of Respondent Merrill Lynch, Pierce, Fenner & Smith, Incorporated NATURE OF THE DISPUTE Customers vs. Member REPRESENTATION OF PARTIES M. Kathleen McKinney ("McKinney") and Merrimac Corporation ("Merrimac"), hereinafter collect

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-04209 M Securities Investment, Inc. Names of the Respondents Hearina Site: Boca Raton, Florida Grigsby & Associates, Inc. Calvin B. Grigsby Nature of the Dispute: Member v. Member and Associated Person. REPRESENTATION OF PARTIES For M Securities Investment, Inc., hereinafter referred to as "Claimant": Curtis Carlson, Esq., Carlson &

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Timothy O. Gilmore, Diane L. Gilmore, individually and as trustees of the Gilmore Family 1998 Trust, and the Gilmore Family 1998 Trust, Claimants v. Citigroup Global Maricets, Inc., Respondent Case Number: 06-04636 Hearina Site: Los Angeles, California Nature of the Dispute: Customers v. Member REPRESENTATION OF PARTIES For Claimants: Sean M. Kneafsey, Esq. Kneafsey Tostado

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Reef Securities, Inc., Claimant v. Robert Stanley, Shawn E. Bartholomae, and American Landmark Securities, Inc., Respondents Case Number: 07-00181 Hearina Site: Dallas, Texas Nature of the Dispute: Member v. Member and Associated Persons REPRESENTATION OF PARTIES For Claimant: For Respondent Robert H. Stanley: For Respondents Shawn H. Bartholomae and American Landma

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: John Wai, individually and as Custodian of Kassandra Wai, a Minor, Claimants v. Morgan Stanley DW Inc. and Jeffrey Rodvien, Respondents Case Number: 04-03297 Hearina Site: San Francisco, California Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES For Claimants: Albert L. Boasberg, Esq. Attorney at Law, San Francisco, California

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Kenneth Jeffrey Menvin, Claimant v. Dennis Lee Breitenstein and Linda Breitenstein Respondents Case Number: 06-03042 Hearing Site: Seattle, Washington Nature of the Dispute: Associated Person v. Associated Person and Non-member REPRESENTATION OF PARTIES For Claimant: Kenneth Jeffrey Merwin ProSe St Helens, Oregon For Respondent Dennis Lee Breitenstein: Dennis Lee Breite

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Richard Case, Claimant v. Wachovia Securities, LLC and Terry Chase, Respondents Case Number: 06-05370 Hearina Site: Los Angeles, California Nature of the Dispute: Associated Person v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: William Lindsley, Esq. Law Offices of William R. Lindsley Toledo, Ohio Jack Smart, Esq. Vogt & Resnick Newport Beac

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In tiie Matter of tiie Aibitration Between Name of ClaimantfO Anthony J. and Christine L. Canon 94-04219 NameofResDondentrs) Fidelity Investments Edward C. Johnson, m Leo A. Raneri FMR Corporation CASE SUMMARY In a claim filed with the National Association of SecuritiBS Dealers, Inc. on October 11,1994, Claimants Anthony J. and Christine L. Canon, who appeared pro se, aUeg

Award FINRA Dispute Resolution in the Matter of the Arbitration Between: Sondra Glassman Roseman and Solomon Roseman (Claimants) vs. Daniel Butler and Raymond James Financial Services, Inc. (Respondents) Case Number: 06-03638 Hearing Site: Newark, New Jersey Nature of the Dispute: Customers vs. Associated Person and Member. REPRESENTATION OF PARTIES Claimants Sondra Glassman Roseman ("8. G. Roseman") and Solomon Roseman ("S. Roseman") hereinafter co