FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASb: 08-00567 Neil Jon Tschetter and Peggy Jane Tschelter ("Claimants") vs. E*Trade Securities LLC ("Respondent") ATTORNEYS: For Claimants appeared Pro se. Douglas, WY. For Respondent: E'Trade Securities In-house Counsel, John Bersin. Roseville. CA. NATURE OF DISPUTE: Customer v. Member DATE FILED Febmary 28, 2008 CASE SUMMARY: Claimants alleged that their brokerage account was compromised

FINR,\ DISPl IK RKSOLl' 1 ION AWARD FINRA DISPUTE RESOLUTION CASE: 08-00478 Paulson Investment Company. Inc. ("Claimant") vs. Jason R. Swan ("Respondent") ATTORNEYS: For Claimant appeared Keith A. Ketterling, Esq.. Stoll. StolL Berne, Lokting & Shiachter, PC, Portland. OR. Respondent Jason R. Swan did not submit an Answer to the Statement of Claim. NATURE OF DISPUTE: Member vs. Associated Person DATE FILED: February 20. 2008 CASE SUMMARY: Claima

FI.NRA DlSin TK RKSOLITIO AWARD FINRA DISPUTE RESOLUTION CASE: 08-01837 Ameriprise Financial Services, Inc. ("Claimant") vs. Edward Antheal Baxter ("Respondent") ATTORNEYS: For Claimant appeared Will Stute, Esq.. Faegre & Benson LLP, Minneapolis. MN. Respondent Edward Antheal Baxter did not submit an Answer to the Statement of Claim. NATURE OF DISPUTE: Member vs. Associated Person DATEFILED: June6. 2008 CASE SUMMARY: Claimant alleged that Re

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants James Gill, Scott Elliot, Kris and Julie Atwood, Larry Vollmer, and Dan Emmerich vs. Case Number: 07-00438 Hearing Site: Detroit, Michigan Names of Respondents Sigma Financial Corporation and Terry L. Moffatt Customers vs. Member and Associated Person James Gill C'Giir), Scott Elliot ("Elliot"), Kris and Julie Atwood (the "Atwoods"). Lany

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-00751 Jacqueline F. Paulausky and Adam P. Paulausi^y, Jr., JTWROS ("Claimant") vs. Wachovia Securities. LLC and Todd Griffith ("Respondents") ATTORNEYS: For Claimant appeared Jacqueline F. Paulausky. Clearwater, FL. For Respondents appeared in-house counsel, William S. Port, Esq., St. Louis, MO. NATURE OF DISPUTE: Customer v. Member and Associated Person DATE FILED: March 14. 2008

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-01306 Lap F. Chang (-'Claimant") vs. HSBC Securities (USA) Inc. ("Respondent") ATTORNEYS: Claimant appeared Pro se, Elmhurst, NY. For Respondent appeared in-house counsel, Tracy S. Woodrow, Esq., Buffalo, NY. NATURE OF DISPUTE: Customer v. Member DATE FILED: April 28. 2008 CASE SUMMARY: Claimant alleged inaccurate reporting to the Internal Revenue Service. Claimant maintained that

Award FiNRA Dispute Resolution In the Matter of the Arbitration Between: Riverside Holdings LLP. and DDIM Holdings, LLC (Claimants) vs. Goldman, Sachs & Company, Lehman Brothers. Inc., and Sofia Frankel (Respondents) Case Number: 05-05422 Hearina Site: New Yorl< , New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Riverside Holdings L.L.P. ("Riverside") and DDIM Holdings, LLC ("DDIM") herein

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Joy B. Piiillips (Claimant) vs. Merrill Lynch, Pierce, Fenner and Smith, Inc., and John Murphy (Respondents) Case Number: 06-01748 Hearing Site: Newark, New Jersey Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Joy B. Phillips hereinafter referred to as "Claimant": Thomas C. Jardim, Esq., Ramsey Bennan, P.C, Moristown, NJ.

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number 07-03118 TRB Family Partners, LTD. a Colorado LTD Partnership, by Tom BoKz, Managing Partner Names of the Resoondents Hearina Site: Boca Raton, Florida Morgan Keegan & Company Inc. Wachovia Securities, LLC Lawrence S. Rule, Jr. Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES TRB Family

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Josef Weskamp vs. Name of Respondent Huntieigh Securities Corporation Case Number: 08-00525 Hearing Site: St. Louis, Missouri NATURE OF THE DISPUTE Customer vs. Member REPRESENTATION OF PARTIES Josef Weskamp ("Claimanr) was represented by Werner A. Meier, Esq., Marzillier & Dr. Meier, Muchen, Germany. Huntieigh Securities (^rporation ("R