FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 06-05110 Russell W. Jacobson, Trad. IRA & Contrib. Roth IRA; Russell W. Jacobson and Amelia M. Jacobson JTyWROS; Amelia M. Jacobson, Trad. IRA & Contrib. Roth IRA; Russell W. Jacobson and Amelia M. Jacobson, ING Annuity Contract 1163999- OW; Russell w: Jacobson, ING Annuity Contract NG90148063 (Claimants) vs. Ellerd B. Tomte (Respondent) ATTORNEYS: Claimants Russell W. Jacobson, Trad. IRA

Award FiNRA Dispute Resolution In the Matter of the Arbitration Between: L. H. Ross & Company, Inc. (Claimant) v. John Joseph Stapleton, Martin Ritchie- Haughton, and Brendan Wright (Respondents) Case Number: 05-00049 Hearina Site: New York. New York Nature of the Dispute: Member v. Associated Persons. REPRESENTATION OF PARTIES Claimant L. H. Ross & Company, Inc., hereinafter referred to as "Claimant": Mark A. Berman, Esq., and Steven J. Shore, Esq.

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-00818 Mary Ann Sepanik and David Edward Sepanik (Claimants) vs. H&R Block Financial Advisors, Inc. (Respondent) ATTORNEYS: Claimant Mary Ann Sepanik appeared pro se. Dearborn Heights, Ml Claimant David Edward Sepanik appeared pro se, Bradenton, FL For Respondent H&R Block Financial Advisors, Inc., appeared in-house counsel Edward A. Walton, Esq., Detroit, Ml NATURE OF DISPUTE: Cust

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-00383 Chizuko Shahzad and Syed Mobin Shahzad (Claimants) vs. Morgan Stanley DW, Inc. (Respondent) ATTORNEYS: For Claimants Chizuko Shahzad and Syed Mobin Shahzad ("Claimants") appeared Timothy A. Canning, Esq., Novato, CA For Respondent Morgan Stanley DW, Inc. ("Respondent") appeared in-house counsel Cassandra Knight, Esq., San Francisco, CA NATURE OF DISPUTE: Customer v. Member

FINI^A DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-00171 Diane Bergman, ("Claimant") vs. Marquis Financial Services, Inc., Gregory Evan Goldstein, Steven John Cohen and Stanislav Kaminsky, ("Respondents") ATTORNEYS: For Claimant appeared Curtis E. Pew, Esq. of the Community Legal Assistance Corporation/School of Law Hofstra University, Hempstead, NY. For Respondents Marquis Financial Services, Inc. and Gregory Evan Goldstein appeared

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: RBC Dain Rauscher Inc. (Claimant) vs. Frank Foerster (Respondent) Case Number: 06-05040 Hearinq Site: New York, New York Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant RBC Dain Rauscher Inc., hereinafter referred to as "Claimant": Patrick J. Howley, Esq., RBC Dain Rauscher, Florham Park, NJ. Respondent Frank Foerster hereinafter referred

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Wachovia Securities Financial Network, LLC, Claimant v. Brian W. Knotts, Respondent Case Number: 06-03507 Hearina Site: Seattle, Washington Wachovia Securities Financial Network, LLC, Claimant v. Robert D. Hyer, Respondent Case Number: 06-03508 Hearina Site: Seattle, Washington Nature of the Dispute: Member v. Associated Persons REPRESENTATION OF PARTIES For Claimant: Ryan P. S

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: jsjame of the Claimant Case Number: 06-00654 Steven C. Heller Name of the Respondent Hearing Site: Tampa. Florida Intersecurities, Inc. Nature of the Dispute: Associated Person v. Member. For Steven C. Heller, hereinafter referred to as "Claimant": John R. Kiefner. Esq., Kiefner & Hunt, P.A., St. Petersburg, Florida. For Intersecurities. Inc.. hereinafter referred to as ''R

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-00756 Bear. Steams & Co. Inc. Names of the Respondents Hearinq Site: Atlanta, Georgia Gregory Fisher Oppenheimer & Co., Inc. Nature of the Dispute: Member vs. Associated Person and Member. REPRESENTATION OF PARTIgfi For Bear, Stearns & Co. Inc., hereinafter referred to as "Claimant": Dan S. McDevitt, Esq. and Mark Glasser, Esq., King

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Ana Maria Vasquez, Claimant v. Chase Investment Services Corp. and J.P. Morgan Securities Inc. f/k/a Banc One Securities Corporation, Respondents Case Number: 07-00385 Hearing Site: Phoenix, Arizona Nature of the Dispute: Customer v. Members REPRESENTATION OF PARTIES For Claimant: RicanJo A. Bracamonte, Esq. Law OfTice of Ricardo A. Bracamont Tucson, Arizona For Respond