AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Roy E. and Linda S. Bush vs. Case Number: 05-06673 Hearing Site: Houston, Texas Name of Respondent Fidelity Brokerage Services, LLC NATURE OF THE DISPUTE Customers vs. Member REPRESENTATION OF PARTIES Roy E. and Linda S. Bush ("Claimants") were represented by Annette M. Henry, Esq., The Levin Law Group, PC, Houston, Texas. On May 2,2007, a Noti

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Morgan Stanley DW, Inc. vs. Name of Respondent Robert Peters Case Number: 06-03875 Hearing Site: Louisville, Kentucky NATURE OF THE DISPUTE Member vs. Customer REPRESENTATION OF PARTIES Morgan Stanley DW, Inc. ("Claimant") was represented by Mauricio S. Beugelmans, Esq., of Morgan Stanley DW, Inc., Purchase, New York. Robert Peters ("Resp

AWARD NASD Dispute Resolution tn the Matter of the Arbitration Between: Name of Claimant/Counter-Respondent UBS Financial Services, Inc. vs. Case Number: 06-02287 Hearing Site: Dallas, Texas Name of Respondent/Counter-Claimant Scott D. Hammer NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES UBS Financial Services, Inc. ("UBS") was represented by Sandra A. Grannum, Esq., Davidson & Grannum, LLP, Orangeburg,

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Hyvert McGrady and Donna S. McGrady vs. Names of Respondents Merrill Lynch, Pierce, Fenner& Smith, Inc., Edward A. Sui, and Robert F. Sui Case Number: 05-03959 Hearing Site: Southfield, Michigan NATURE OF THE DISPUTE Customers vs. Member and Associated Persons REPRESENTATION OF PARTIES Hyvert McGrady and Donna S. McGrady ("Claimants") were

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Raike Financial Group, Inc. and William Raike, III, Claimants v. Globalink Securities, Inc. and Robert Darrell Drew, Respondents Case Number: 04-08140 Hearing Site: San Diego, California Nature of the Dispute: Member and Associated Person v. Member and Associated Person REPRESENTATION OF PARTIES For Claimants Raike Financial Group, Inc. and William Raike, III (hereinafter

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant S. June Smith Revocable Living Trust Case No. 99-03696 Names of Respondents American Express Financial Advisors, Inc. Franklyn C. Kenny REPRESENTATION OF PARTIES For S. June Smith Revocable Living Trust, hereinafter referred to as "Claimant": Carl A. Bertoch, Esq. of the law offices of Carl A. Bertoch, P.A., Crystal River, Florida. For American

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Susan K. Beesemyer and the Beesemyer Family Trust, Claimants v. RBC Dain Rauscher Inc., Respondent Case Number: 06-02145 Hearing Site: Tucson, Arizona Nature of the Dispute: Customers v. Member REPRESENTATION OF PARTIES For Claimants: J. Emery Barker, Esq. Mesch, Clark & Rothschild, P.C. Tucson, Arizona For Respondent: Jesse B. Simpson, Esq. Lewis and Roca LLP Lawyer

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Lawrence Weitzner, IRA Barbara Weitzner Marvin L. Silver Trust Norma Silver Trust DTD 5/22/96 Laurie Silver Daniel L. Lowenstein Revocable Living Trust William Lehrburger Names of the Respondents Kaplan & Co. Securities, Inc. Jed Kaplan Bear Stearns & Co. Name of the Third-Party Respondent Louise Harrison Case Num

Award NASD Dispute Resolution In the Matter of the Arbitration Between: James Ely, Sr. (Claimant) vs. TFS Securities, Inc., and Barbara Rieck (Respondents) Case Number: 06-01846 Hearing Site: Philadelphia. Pennsylvania Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant James Ely, Sr., hereinafter referred to as "Claimant": Thomas J. Momjian, Esq., Coss & Momjian, LLP, Bala Cynwyd, PA. Respondents TFS

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 06-05367 Donald R. Knipe, (Claimant) vs. Wedbush Morgan Securities Inc., (Respondent) ATTORNEYS: ~~ ~~" ~ ~ ~ ~ ~ "~~ For Claimant appeared MarK A, Wilner, Esq. of the firm Gordon Tolden Thomas & Cordell LLP, Seattle, WA. For Respondent appeared in-house counsel Gary L. Holmes, Esq., Los Angeles, CA. NATURE OF DISPUTE: Customer vs. Member ' " """ ~~~ DATE FILED: December 21,