Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-05187 Michael Sean Cain Name of the Respondent Hearing Site: Atlanta, Georgia Wachovia Securities, LLC, as Surviving Entity by Merger with A. G. Edwards & Sons, Inc. Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES For Michael Sean Cain, hereinafter refen-ed to as "Claimant": Raymond L. Moss, Esq., Si

Modified Award NASD Dispute Resolution In the Matter of the Arbitration Between: Benjamin H. Stafford and Barbara Stafford (Claimants) vs. Morgan Stanley DW, Inc. and Merhll Lynch Pierce Fenner & Smith, Inc. (Respondents) Case Number: 06-03040 Hearinq Site: Boston, Massachusetts Nature of the Dispute: Customers vs. Members. REPRESENTATION OF PARTIES Claimants Benjamin H. Stafford and Barbara Stafford hereinafter collectively referred to as "Claimants

Modified Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Jacob Niremberg (Claimant) vs. NYLife Securities, Inc., and George R. Gordon (Respondents) Case Number: 06-02862 Hearinq Site: New York, New York Nature of the Dispute: Associated Person vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Jacob Niremberg hereinafter referred to as "Claimant": Isaac Schlessinger, Brooklyn, NY. Respondents NYLife Secu

Modified Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Joseph A. Franko, Jr. and Judith A. Franko, his wife (Claimants) vs. Ameriprise Financial Services, Inc., f/k/a American Express Financial Advisors, Inc. (Respondent) Case Number: 06-02530 Hearina Site: Philadelphia, Pennsylvania Nature of the Dispute: Customers vs. Member. REPRESENTATION OF PARTIES Claimants Joseph A. Franko, Jr. ("Franko") and Judith A. Franko ("J. Franko

Modified Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Paul Jacobson (Claimant) vs. eWealth Securifies, Inc. f/k/a Gilmour and Associates (Respondent) Case Number: 06-02354 Hearinq Site: New York, New York Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Paul Jacobson hereinafter referred to as "Claimant": Brian A. Carlis, Esq., Stark & Stark, Lawrenceville, NJ. Previously represented

NASD DISPUTE RESOLUTION MODIFIED AWARD NASD DISPUTE RESOLUTION CASE: 06-00301 Paulson Investment Company Inc., (Claimant) vs. Randy Rene Jones, (Respondent) ATTORNEYS: For Claimant appeared Scott A. Shorr, Esq., of the firm Stoll Stoll Berne Lokfing & Shiachter P.C, Portland, OR. Respondent appeared pro se, Sandy, OR. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: January 19, 2006 CASE SUMMARY: Claimant alleged that Respondent breached an

Modified Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Peter Kowaichuk, Individually, and on behalf of the Peter Kowalchuk Roth IRA, Evelyn Kowalchuk, Individually, as Trustee U/W/0 Andrew Kowalchuk FBO Peter Kowalchuk, and on behalf of the Evelyn Kowalchuk Roth IRA (Claimants) vs. Patrick Murray, Colin Heafy, Matthew Stroup, and Bear Stearns Securities Corp. (Respondents) Case Number: 05-06162 Hearinq Site: New York, New York

Revised Award NASD Dispute Resolution In the Matter of the Arbitration Between: Vera Fernicola (Claimant) vs. Morgan Stanley Dean Witter, Inc. and Kenneth C. Drake (Respondents) Case Number: 04-08012 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Vera Fernicola hereinafter referred to as "Claimant": Jay McDaniel, Esq., McDaniel Law Firm, Upper Saddle River, NJ.

Modified Stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Anne J. Abbott (Claimant) v. Wachovia Securities, Inc., John B. Snneriglio, Christopher J. Cunningham, and John McKee (Respondents) Case Number: 04-05879 Hearinq Site: Hartford, Connecticut Nature of the Dispute: Customer v. Member and Associated Persons REPRESENTATION OF PARTIES Claimant Anne J. Abbott hereinafter referred to as "Claimant": Thomas B. Decea, Esq.

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimants Case Number: 09-06444 Patricia M. Casson Brian J. Casson Name of Respondents Hearina Site: Denver, Colorado Community Bankers Securities, LLC Thomas B. Miller Nicholas Dean Skaltsounis James Marvin Mitchell John Brady Guyette Nature of Dispute: Customers vs. Member and Associated Persons REPRESENTATION OF PARTIES Claimants, Patricia M. C