FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-01171 Ameriprise Financial Services, Inc., ("Claimant") vs. Christopher Gary Weighart, ("Respondent") ATTORNEYS: For Claimant appeared Will Stute. Esq., of the firm Faegre & Benson LLP, Minneapolis, MN. Respondent did not submit an Answer to the Statement of Claim. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: April 17. 2008 CASE SUMMARY: Claimant alleged that Resp

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Ehrenkrantz King Nussbaum, Inc. (Claimant) vs. Kerry P. Raheb, George M. Tamborello, Empire Financial Group Inc., Donald A. WojnowskI, Jr., Mark Miranda, Kelly Pfelfer, Robert Ciaccio (Respondents) vs. Anthony Ottimo, Thomas Glugliano, Michael Hugh Berlin, Edward Short, Thomas O'Neill (Third-Party Respondents) Case Number: 05-05322 Hearing Site: New York, New York Nature of the Dis

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Roger Lee Anderson Case Number 07-02546 Name of Respondents SWS Group inc. SWS Financial Services, Inc. Southwest Securities, Inc. Hearing Site: Dallas, Texas Counter-Claimant Southwest Securities, Inc. Counter-Respondent Roger Lee Anderson Nature of the Dispute: Associated Person v. Membere and Non-Member Member v. Associated Person

Award FINRA Dispute Resolution In the Matter of the Art)ltratlon Between: Claimants Case Number: 07-01990 tiene Dwortc Bemilc Bemlic Exemption Trust Bemjic Marital Trust liene Dworic Bemik 2005 Revocable Trust Paul Dwor1( Joann Dwork Paul & Joann R. Dworic Trust Dated June 6,1989 Joshua J. Dworic Benjamin R.S. Dwortc Matthew W. Dworic Jeremy M. Dworic Respondents Hearina Site: Los Angeles, Califbmia The Shemano Group, Inc

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Paul Varsalona vs. Names of Respondents Valdes & Moreno, Inc. and Lowell Huntley Listrom Case Number: 07-03231 IHearing Site: Kansas City, Missouri NATURE OF THE DISPUTE Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Paul Varsalona ("Claimant") was represented by Bemard L. Balkin. Esq.. Gllliland & Hayes, PA. Overlan

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Lorraine Mosl^ai, Lorraine Moskal 2002 Tmst, and Lorraine Moskal IRA vs. Names of Respondents IH&R Block Financial Advisors, Inc. and Gregory A. Vanek Case Number: 07-02907 Hearing Site: Cleveland, Ohio NATURE OF THE DISPUTE Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Lorraine Moskal ("Mrs. Moskal"), Lorraine M

Award FiNRA Dispute Resoiution In the Matter of the Arbitration Between: Phyllis Francis (Claimant) vs. Salomon Smith Barney (Respondent) Case Number: 06-04480 Hearing Site: Newark, New Jersey Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Phyllis Francis hereinafter referred to as "Claimant": Kirk George Smith, Esq.. Shepherd. Smith & Edwards, LLP, Houston. TX. Respondent Salomon Smith Barney hereinafter referred to

Award FiNRA Dispute Resoiution In the Matter of the Arbitration Between: Jean Darzl and David Darzi (Claimants) vs. Morgan Stanley Dean Witter, Inc. (Respondent) Case Number: 07-03046 Hearina Site: New Yori< . New York Nature of the Dispute: Customers vs. Member. REPRESENTATION OF PARTIES Claimants Jean Darzi ("J. Darzi") and David Darzi ("D. Darzl"), hereinafter collectively referred to as "Clalmante": Anthony J. Hom, Esq., New York, NY. Respond

Award FINR.^ Dispute Resolution In the Matter of the Arbitration Between: Marvin S. Becker, MD, PC (Claimant) vs. Signator Investors, Inc. and Michael A. Napolltano (Respondents) Case Number: 08-00483 Hearing Site: New Yori< , New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Marvin S. Becker, MD, PC hereinafter referred to as "Claimant": Ira S. Kaplan, Esq.. Old Bethpage, NY. Respondent

Award FINRA Dispute Resoiution In the Matter of the Arbitration Between: Andrew Garrett. Inc. (Claimant) vs. Bishop Rosen & Co., Inc., Alan Underberg, Robert Rosen, Ernest Silano and Vincent FIcci (Respondents) Case Number: 06-04308 Hearina Site: New York, New York Nature of the Dispute: Member vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant Andrew Garrett, Inc., hereinafter referred to as "Claimant": Barry M. Bordetsky, Esq.,