Award FINRA Dispute Resolution in the Matter of the Arbitration Between: Ciaimants: Case Number. 07-02969 George V. Saiovich and Ethel L. Salovich, Tmstees of the Salovich Family Trust U/A dated 11/08/93 Respondents: Hearing Site: Las Vegas. Nevada Merrill Lynch, Pierce, Fenner and Smith Incorporated, Derail S. Uehara, and Johanna C. Martin Natore of the Dispute: Customer v. Member and Associated Pereons REPRESENTATION OF PARTIES

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Vincent J. Berarducci Case Number: 08-01583 Name of the Respondent Optionshouse, Inc. Hearina Site: Ft. Lauderdale, Florida Nature of the Dispute: Customer vs. Member. Vincent J. Berarducci. hereinafter referred to as "Claimant", appeared pro se. For Optionshouse, inc., hereinafter referred to as "Respondent": Lesley G. Smith, Esq., Schopf & Wei

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Gregory A. Rutherford, Scott W. Norveii, and Gerald L. Tagge ys. Case Number: 07-03357 IHearlng Site: Omaha. Nebraska Name of Respondent Royal Alliance Associates, Inc. MATURE OF THE DISPUTE Associated Persons vs. Member REPRESENTATION OF PARTIES Gregory A. Rutherford, Scott W. Norveii, and Gerald L. Tagge ("Claimants") were represented by

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Robert Elliott Hall vs. Case Number: 07-01397 Hearing Site: Chicago, Illinois Name of Respondent Joseph Stevens & Company, Inc. NATURE OF THE DISPUTE Customer vs. Terminated Member REPRESENTATION OF PARTIES Robert Elliott Hall ("Claimant") was represented by Joel J. Bellows, Esq, and Kristen E. Prinz, Esq., Bellows and Bellows, P.C, Chicago, Ill

Award FINRA Dispute Resoiution In the Matter of ttie Arbitration Between: Name of the Claimant Case Number: 07-02917 Gertrude McLean Name of the Respondents Hearing Site: Little Roci< , Arkansas Matthew J. Claris Timothy G. Dumas Morgan Keegan & Company, Inc. Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Gertrude McLean, hereinafter referred to as "Claimant": Robert G. McLean. North Little Roc

Award FINRA Dispute Resoiution In the Matter of the Arbitration Between: Name of the Claimant Case Number 07-02724 RBC Dain Rauscher, Inc. Name of the Respondent Hearina Site: Boca Raton, Florida Wayne SorokowskI Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For RBC Dain Rauscher, Inc., hereinafter referred to as "Claimant": Gary Inwin, Esq., Gary In/vin & Associates, Miami, Florida. For Wayne Sorokowski, her

AWARD FINRA Dispute Resoiution In the Matter of the Arbitration Between: Name of Claimant Jack W. Moreland vs. Case Number 07-01322 IHearing Site: Kansas City. Missouri Name of Respondent Perkins. Smart and Boyd. Inc. NATURE OF Associated Person vs. Member REPRESENTATION OF PARTIES Jack W. Moreland ("Claimant") was represented by Jeffrey S. Kruske. Esq., Law Office of Jeffrey S. Kmske. P.A.. Overland Park, Kansas. Perkins, Smart

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Joseph Brian Kemke, Individually and as Trustee of the Blanche I. Kemke Amended, Revised, Restated, Revocable Trust; and as Trustee of the Amended, Revised, Restated, Kenneth V. Kemke Revocable Trust; and as Tmstee of the Joseph C. Kemke, Sr, Family Shelter Trust vs. Case Number: 06-04283 Hearing Site: Oklahoma City, Oklahoma Names of Responde

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants lona Hastings and Elaine M. Heng vs. Names of Respondents Capitol Growth Financial, LLC, Wachovia Securities, LLC, VSR Financial Services, Inc., Peter Lahti Rebecca L. Engle, and Brian J. Schuster Case Number: 07-00295 IHearing Site: Omaha, Nebraska NATURE OF THE DISPUTg Customer vs. Tenninated Member, Members, and Associated Persons l

Award FINRA Dispute Resolution In the Matter of the Art3ltration Between: Name of the Claimant Case Number: 03-02903 Charies R. Raulerson, Jr. Name of the Respondents Hearing Site: San Francisco, Califomia First Wall Street Corp. John Openshaw Barbara J. Ralston Charies P. Lazzaro Nature of the Dispute: Customer vs. Memt>er and Associated Persons REPRESENTATION OF PARTIES Claimant, Charies R. Raulerson, Jr., hereinafter referred to as "C