Award FINRA Dispute Resolution In the Matter of the Arbitration Between: John Scott (Claimant) vs. Great Eastern Securities. Inc.. and Myrtle J. Gilpin-Morgan (Responderrts) Case Number: 08-02311 Hearing Site: Newark. New Jersey Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant John Scott hereinafter referred to as "Claimant": Liam O'Brien, Esq., McCormick & O'Brien. LLP. New York. NY. Responden

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-04207 Alex Roiniotis, ("Claimant") vs. E*Trade Securities LLC, ("Respondent") ATTORNEYS. Claimant appeared Pro se, Wood Dale, IL. For Respondent appeared John Bersin. Esq.. in-house Counsel, Roseville, CA. NATURE OF DISPUTE: Customer v. Member DATE FILED: November 12. 2008 CASE SUMMARY: Claimant alleged that Respondent failed to deliver a prospectus regarding a rights offering for

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant / Counter-Respondent CarlW.Busch vs. Names of Respondents / Counter-Claimants Southwest Securities, Inc., SWS Financial Services, and SWS Group. Inc. Name of Claimant Southwest Securities. Inc. vs. Name of Respondent Carl W. Busch Case Number: 07-02338 Hearing Site: Oldahoma City. Oidahoma Consolidated with: Case Number: 07-0

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-03434 James D. Meyers and Gertrude A. Meyers, ("Claimants") vs. Sandra Fuller and The Huntington Investment Company, ("Respondents") ATTORNEYS: Claimants appeared Pro se, Macomb, Ml. For Respondents appeared Dennis J. Concilia, Esq., Cariile, Patchen & Murphy LLP, Columbus, OH. NATURE OF DISPUTE: Customer"vrMember and Associated Person^ DATE FILED: December 4. 2007 CASE SUMMARY

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Estate of Jack Perry by its Executrix Jean Zivitz (Claimant) vs. Prudential Equity Group (Respondent) Case Number: 08-02214 Hearing Site: New York. New York Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant Estate of Jack Perry by its Executrix Jean Zivitz hereinafter referred to as "Claimant": Debra G. Speyer, Esq.. Law Offices of Debra G. Speyer. E

AWARD FINRA Dispute Resolution in the Matter of the Arbitration Between: Names of Claimants / Counter-Respondents William L. Peterson, Pamela A. Peterson, and Vanl< y Men vs. Case Number: 08-01635 Hearing Site: Minneapolis, Minnesota Names of Respondents / Counter-Claimants Gale Ridge Financial Services Group, Inc., Oak Ridge IHolding Corporation, Jon En/ing Berg, Richard Danze Husebo, Marc Howard Kozberg, Michael David Leonard, Susanne H

Award HNRA Disputa Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-04649 Diane Brewer Name of the Resoondents Hearing Site: Los Angeles, Califomia ING Rnanclal Partners, Inc. f/k/a Washington Square Partners; Timothy N. Tremblay d/bta Tremblay Financial Services; and KeithAWaibel Name of the Counter-Claimant Keitii A. Waibel Name of the Counter-Respondent Diane Brewer Name of the Coun

Award FINRA Dispute Resolution in the Matter of the Arbitration Between: Name of the Claimant: Case Number 08-03232 William Frechtman Name of the Respondent: Hearing Site: Los Angeles, Califomia David Sung Wook Pari^ Nature of the Dispute: Customer vs. Associated Person REPRESENTATION OF PARTIES Claimant William Frechtman hereinafter refened to as "Claimant": appeared pro se. West Hollywood, Califomia Respondent David Sung Wooic Parle herein

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: NameoftheClaimarrt: Case Number: 08-01424 First Midwest Securities, Inc. Name of the Resoondent: Hearing Site: Las Vegas, Nevada Patricia L. Robinson Name of Counter-Ciaimant: Patricia L. Robinson Name of Counter-Respondent: First Midwest Securities, Inc. Nature of the Disputes: Member vs. Associated Person Associated Person vs. Member REPRESENTATION OF PART

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Hyung Sul< Kim (Claimant) vs. CIBC World Maritets Corp. (Respondent) Case Number: 08-00325 Hearing Site: New Yori^. New Yori< Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Hyung Suit Kim hereinafter referred to as "Claimant": David Marei< , Esq.. LIddle & Robinson. L.L.P.. New Yoric. NY. Respondent CIBC World Marlcets Corp.. hereinafter