Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 07-02967 Albert Sims and Mindy Sims Names of the Respondents Hearing Site: Washington. D.C. A.G. Edwards & Sons. Inc. Nancy Balcer Nature of the Dispute: Customer vs. I\^ember and Associated Person. REPRESENTATION OF PARTIES For Albert Sims and Mindy Sims, hereinafter collectively referred to as "Claimants": Albert Sims, Fairfax Stati

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 05-03162 Robert F. Archer and ina Rae Archer William J. Ariow and Clara 8. Ariow Hazel M. Atterberry Travis E. Atterberry James C. Bailey Ann W. Bail George Brown ill and Shiriey G. Brown R. Brentwood Bryan Cari D. Burns John E. Cahoon and Ann V. Cahoon William B. Chambiess Kenneth D. Cross Eiroy R. Duia

AWARD FINRA Dispute Resolution in the Matter of the Arbitration Between: Name of Claimant Wachovia Securities, LLC vs. Case Number: 08-00805 Hearing Site: Cleveland, Ohio Name of Respondent Robert W. Berry NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES Wachovia Securities, LLC ("Wachovia") was represented by Renan Sugamian, Esq., Chicago, Illinois. Robert W. Beny ("Berry") was represented by Christop

Award FINRA Dispute Resolution in the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-05275 Joseph E. Webber Names of tiie Resoondente Hearina Site: Tampa, FL Citigroup Global Markets, Inc., flkia Salomon Smitii Barney, Inc. Jack B. Gmbman Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Joseph E. Webber, hereinafter referred to as "Claimant": William B. Young, Jr.. E

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-01615 Nancy Lifter Wolin Name of the Respondent Hearing Site: Boca Raton, Florida Citigroup Global Markets, Inc. Nature of the Dispute: Customer v. Member. REPRESENTATION OF PARTIES For Nancy Lifter Wolin, hereinafter referred to as "Claimanf: Luis F. Blason, Esq., North Miami Beach, Florida, until his withdrawal as counsel on December 4

stipulated Award FINRA Dispute Resolution In the Matter of the Aril)itratlon Between: Name of the Claimant Case Number 07-01395 Wachovia Securities, LLC Name of the Respondent: Hearing Site: Seattle, Washington David P. Thomas Name of Counter-Claimant David P. Thomas Name of Counter-Respondent Wachovia Securities, LLC Nature of Dispute: IMember vs. Associated Person Associated Person vs. Member REPRESENTATION OF PARTIES Claimant/

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Eddie Miller vs. Case Number: 08-00980 Hearing Site: Cincinnati, Ohio Names of Respondents PNC Investments, Inc., James Popp, Donna Haynes, Sally Weinkam. and Susan Meyers Associated Person vs. Member and Associated Persons Eddie Miller ("Claimant") was represented by Kenneth W. Scott, Esq.. Florence, Kentuclcy. PNC Investments, inc. ("PNC"), Ja

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants/Counter-Respondents Regal Securities, Inc. and J.P. Turner and Company, LLC vs. Case Number: 07-03337 Hearing Site: Chicago, lilinols Name of Respondent/Counter-Ciaimant Inteiligentias, Inc. NATURE OF THE DISPUTE Members vs. Non-Member REPRESENTATION OF PARTIES Regal Securities, Inc. ("Regal") and J.P. Tumer and Company. LLC (JP Turner), h

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Sidney Chertock (Claimant) vs. TD Ameritrade, Inc. (Respondent) Case Number: 08-00299 Hearing Site: New York, New York consolidated with Sidney Chertock (Claimant) vs. TD Ameritrade, Inc. (Respondent) Case Number: 08-01260 Hearing Site: New York. New York Nature of the Dispute 08-00299: Customer vs. Member. Nature of the Dispute 08-01260: Customer vs. Member. REPRESENTATION

stipulated Award FiNRA Dispute Resolution In the Matter of the Arbitration Between: Fidelity Brokerage Services LLC (Claimant) vs. Joseph Downey, Timothy P. McParland, Jeffrey Myers and Long Island Wealth Management. Inc. d/b/a Myers Asset Management (Respondents) Case Number: 08-01218 Hearino Site: New York. New York Nature of the Dispute: Member vs. Associated Persons and Non-Member. REPRESENTATION OF PARTIES Claimant Fidelity Brokerage Services L