SUpulaMAmnl nNRA Otapuli Risoliillon In tha Mattar of ttia Afbilratlon MamaofthaOahnanta Caaa Numbar 084)0294 Robart Kottar, M. D., Individually; Robart Kottor, M.D., tmstaafortha Robart Kotlar M.D., Inc. Proftt Sharing Plan; Ronald Shaldon, IndMdually; Ronald Shaldon. tontae of tha Ronald Shaldon Trust; Robart L Lubar, D.D.S., IndKMually; Robart L. Lubar, D.D. S. as truatea for tha DfB. AldRman, Kadn, Lubar Ltd. Profit Sharing Plan;

Award FINRA Dispute Resolution In the Matter of the Ari^itration Between: Eileen Valentino-Condon vs. UBS Financial Services, Inc. Case Number: 08-00476 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. i\1ember. REPRESENTATION OF PARTIES Claimant Eileen Valentino-Condon hereinafter referred to as "Claimant": Brett D. Shemian, Esq., The Sherman Law Finn, Oemarest, NJ. ResporKlent UBS Financial Services, Inc., hereinafter

stipulated Award F1NRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 07-02872 Douglas R. Strayer Julie D. Strayer Names of the Respondents Hearing Site: Baltimore, I\iaryland Prudential Equity Group, LLC Wachovia Secunties, LLC John J. Brady Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Douglas R. Strayer and Julie D. Strayer, hereinafter

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants Leslie ButtorfF; Case Number 07-03366 J & N Realty Company, LLC Name of the Respondents Hearing Site: Denver, Colorado RBC Dain Rauscher, Inc. and Anthony Russo Nature of the Dispute: Customers vs. Member and Associated Persons REPRESENTATION OF PARTIES Claimants, Leslie A. Buttorff ("ButtorfT) and J & N Realty Company. LLC ("J & N Realty") her

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-03206 Fordham Financial Management, Inc.. ("Claimant") vs. Olori Hamilton. ("Respondent") ATTORNEYS: For Claimant appeared Michael S. Colombo, President and CEO of StreetWide Asset Recovery Group, Inc., Lyndhurst, NJ. Respondent did not submit an Answer to the Statement of Claim. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: September 5. 2008 CASE SUMMARY: Claimant all

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants / Counter-Respondent Am Tmst Investment Sen/ices, Inc., Am Trust Insurance Agency, Inc., and Am Tmst Bank vs. Case Number: 07-02012 Hearing Site: Cleveland, Ohio Names of Respondents / Counter-Claimant Charter One Investment Services, Charter One Financial, Inc., David P. Kopsak, Robbin Renee Guy, and Jonathan R. Mesok NATURE OF THE DISPUTE

AWARD FINRA Dispute Resolution In the Matter of the Arisitration Between: Name of Claimant / Counter-Respondent Lawrence G. Adelman vs. Case Number: 06-03052 Hearing Site: Cleveland, Ohio Name of Respondent / Counter-Respondent H&R Block Financial Advisors, inc. n/k/a Ameriprise Advisor Sen/ices, Inc. Associated Person vs. Member Lawrence G. Adelman ("Claimant" or "Adelman") was represented by Joshua R. Cohen, Esq., Cohen Rosenthal & Kra

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Ameriprise Financial Services, Inc. vs. Name of Respondent Vladimir Victor Case Number: 08-00809 IHearing Site: Cleveland. Ohio NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES Ameriprise Financial Services, Inc. ("Claimant" or "Ameriprise") was represented by Edward B. Magarian, Esq., Dorsey & Whitney, LLP, Minne

AWARD FINRA Dispute Resolution In the Matter of the Arisitration Between: Name of Claimant Robert W. Baird & Co. Incorporated vs. Case Number. 08-00797 Hearing Site: Southfield, Michigan Names of Respondents Morgan Stanley DW, Inc., Larry Bluhm. Christopher Emvall. and Michele Vanderiinde Member vs. Memt>er and Associated Persons Robert W. Baird & Co. Incorporated ("Claimant") was represented by Scott J. Void, Esq., and Christopher J. Ba

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number 08-00991 Nicholas Saab, individually and as President of American Voice Corp., Dianne Saab, individually and as Secretary of American Voice Corp., and American Voice Corp. Name of the Respondent Hearing Site: Boca Raton, Florida E*Trade Securities, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For N