Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Prime Capital Services, Inc. (Claimant) vs. Raymond John Derobbio (Respondent) vs. David A. Conkling (Third Party Respondent) Case Number: 04-08311 Hearina Site: New York, New York Nature of the Dispute: Initial Claim: Member vs. Associated Person. Third Party claim: Associated Person vs. Associated Person. REPRESENTATION OF PARTIES Claimant Prime Capital Services, Inc., he

STIPULATED AWARD FINRA Dispute Resolution In the Matter of the Arbitration BehA/een: Name of Claimant Anthony D. Ivankovlch, M.D. vs. Case Number: 06-04895 Hearing Site: Chicago, Illinois Name of Respondent CIBC World Markets Corp. NATURE OF THE DISPUTE Customer vs. Member REPRESENTATION OF PARTIES Anthony D. Ivankovlch, M.D. ("Claimant") was represented by Philip M. Aidikoff, Esq., Robert A. Uhl, Esq., and Ryan K. Bakhtiari, Esq., A

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Moloney Securities Co., Inc. vs. Names of Respondents William Ramey Mead, Jr. and Jacqueline M. Mead Case Number: 06-04292 Hearing Site: St. Louis, Missouri NATURE OF THE DISPUTE Member vs. Associated Persons REPRESENTATION OF PARTIES Moloney Securities Co., Inc. ("Claimant") was represented by Thomas L. Azar, Jr., Esq., Thompson Coburn,

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: IVIichael Airhart and Amy Airhart, Claimants v. The Avantus Group, Inc. f/k/a First Avantus Securities, Inc. n/k/a Riverstone Wealth Management, Inc. and Jake Caniker, Respondents Case Number: 07-00466 Hearina Site: Houston, Texas Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES For Claimants: Steven D. Toskes, Esq. Klayman & Toskes

Second Amended Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 04-08420 Charles L. Cooper and Mary R. Cooper Names of the Respondents Hearing Site: Tampa, Florida Donald W. Reinhard Paragon Financial Group, Inc. William Lee Bear Stearns Securities, Corp. Nature of the Dispute: Customer v. Member and Associated Person. REPRESENTATION OF PARTIES For Charles L. Cooper ("C. Coo

AWARD FINRA Dispute Resolution in the Matter of the Arbitration Between: Names of Claimants Lance deStwolinski, Individually and as Co-Trustee of the Lance deStwolinski Revocable Trust and Elizabeth deStwolinski, Individually and as Co-Trustee of the Lance deStwolinski Trust vs. Name of Respondent Citigroup Global Markets, Inc. Case Number: 06-05403 IHearing Site: Omaha, Nebraska NATURE OF THE DISPUTE Customers vs. Member

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Mark D. Brittan vs. Name of Respondent Smith Bamey, Inc., a division of Citigroup Global Markets, Inc. Case Number: 06-04092 Hearing Site: Omaha, Nebraska NATURE OF THE DISPUTE Associated Person vs. Member REPRESENTATION OF PARTIES Majk D. Brittan ("Claimant") was represented by Edward F. Pohren, Esq., Dwyer, Smith, Gardner, Lazer, Pohre

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 06-01740 Alvaro Eduardo Joaquin Francisco Perez de Castro Maria Cecilia Penna Name of the Respondent Hearing Site: Boca Raton, Florida EFG Capital International Corp. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Alvaro Eduardo Joaquin Francisco Perez de Castro and Maria Cecilia Penna, hereinafter collectively

Stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Michael DiStefano (Claimant) v. Summit Equities, Incorporated and David Chepauskas (Respondents) Case Number: 04-07111 Hearing Site: Newark, New Jersey Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Michael DiStefano hereinafter referred to as "Claimant": Brian Neville, Esq., The Law Offices of Brian Neville, New

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-00579 Jeffrey L. Feist (Claimant) vs. Fiserv Securities, Inc. (Respondent) ATTORNEYS: Claimant Jeffrey L. Feist ("Claimant") appeared pro se, New York, NY. For Respondent Fiserv Securities, Inc. ("Respondent") appeared Michael N. Gordan, Esq., Philadelphia, PA. NATURE OF DISPUTE: Associated Person v. Member DATE FILED: February 23, 2007 CASE SUMMARY: Claimant alleged mistaken langu