Award FiNRA Dispute Resoiution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-02921 Jennifer S. Smith Names of Respondents Hearing Site: Raleigh, North Carolina Brookstreet Securities Corporation Chris Victor Suarez Ryan H. Ku Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Jennifer S. Smith ("Smith"), hereinafter referred to as "Claimant": Hans H. Huang, Esq

Award FINRA Dispute Resoiution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 07-01255 Beveriy Joyce Ashton Names of the Respondents Hearing Site: Nashville, Tennessee Ralph Drayer Morgan Stanley Dean Witter Allstate Life Insurance Company Nature of the Dispute: Customer v. Member, Non-Member and Associated Person. REPRESENTATION OF PARTIES For Beveriy Joyce Ashton, hereinafter referred to as "Claimant": Richard

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Donchee Lin and Donchee Lin, IRA, Claimants v. Weiming Ho and Integral Financial LLC, Respondents Case Number: 06-00122 Hearina Site: San Francisco, California Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES For Claimants: Donchee Lin Maiden, Massachusetts For Respondents: Weiming Ho Integral Financial LLC San Jose, Califor

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Duane V. Murff vs. Names of Respondents UMB Scout Brokerage Services. Inc.. Banc of America Investment Services, Inc., and Mark Wheeler Hams Case Number: 05-04204 Hearing Site: Kansas City. Missouri NATURE OF THE DISPUTE Customer vs. Members and Associated Person REPRESENTATION OF PARTIES Duane V. Murff ("Claimant") was represented by Mi

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants David and Grace Petersen and the David Petersen IRA vs. Names of Respondents A.G. Edwards & Sons, Inc. and William Patrick Ferry Case Number: 06-02945 Hearing Site: St. Louis, Missouri NATURE OF THE DISPUTE Customers vs. Member and Associated Person REPRESENTATION OF PARTIES David and Grace Petersen and the David Petersen IRA ("Claiman

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Pat Selman, Claimant v. Royal Alliance Associates, Inc., Respondent Case Number: 07-00725 Hearing Site: Portland, Oregon Nature of the Dispute: Customer v. Member REPRESENTATION OF PARTIES For Claimant: For Respondent: Robert S. Banks, Jr. The Banks Law Office, P.C. Portland, Oregon Gregory M. Curley, Esq. Royal Alliance Associates, Inc. New York

AMENDED AWARD FINRA Dispute Resoiution In the Matter of the Arbitration Between: Names of Claimants Ervin General Partnership, Dennis Smith, M.D. and Julie Benner Smith. Edward and Camille Underwood, Eric and Karen Saul and L. Lee Lancaster, M.D vs. Case Number: 03-06449 Hearing Site: Nashville, Tennessee Names of Respondents J.J.B. Hilliard, W.L. Lyons, Inc. LeLand Shawn Breskow NATURE OF THE DISPUTE Customer vs. Member and Asso

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 06-04315 John Knaub Lonita Knaub Name of the Respondent Hearing Site: Tampa, Florida ProEquities, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For John Knaub and Lonita Knaub, hereinafter collectively referred to as "Claimants": Philip J. Snyderburn, Esq., Snyderburn, Rishoi & Swann, Maitland, Florida.

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Ronald L. Zander, Claimant v. Samuel P. Solomon and Solomon Advisors, Respondents Case Number: 06-03781 Hearina Site: Dallas, Texas Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Richard A. Lewins, Esq. Burg Simpson Eldredge Hersh & Jardine Dallas, Texas For Respondents: Samuel P. Solomon Solomon Advisors

FINRA DISPUTE RESOLUTION AWARD FiNRA DISPUTE RESOLUTION CASE: 07-01511 Ronald E. Tomaszewski and Susan M. Tomaszewskl, ("Claimants") vs. AIG Financial Advisors, Inc., ("Respondent") ATTORNEYS: Claimants appeared pro se, Surprise, AZ. For Respondent in-house counsel Abby Henlg, Esq., Phoenix, AZ. NATURE OF DISPUTE: Customers vs. Member DATE FILED: May 14, 2007 CASE SUMMARY: Claimants alleged that Respondent breached its fiduciary by failing t