Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 07-00348 Harold Curtis Levy IRA Respondent Hearing Site: Portland, Oregon Ameriprise Financial Sen/ices, Inc. f/k/a American Express Financial Advisors, Inc. Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant, Harold Curtis Levy, IRA hereinafter referred to as "Claimanf: Mari( Wilson, Esq., Isaacson & Wilson, P.S. Seattle

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant: Case Number: 05-06280 Pmdential Equity Group, LLC Wa Paidential Securities Incorporated Name of the Respondent: Hearino Site: Los Angeles. California Stanley I. Szymcyzk Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant Prudential Equity Group, LLC f/k/a Pmdential Securities Incorporated hereinafter referred to

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number 08-00012 Wedbush Morgan Securities. Inc. Respondent Hearino Site: San Diego, California Richard LaBare Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant, Wedbush Morgan Securities, Inc. CWMS"), hereinafter referred to as "Claimant": John W. Stenson, Esq., Wedbush Morgan Securities, Inc., Los Angeles, Califomia

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant/Counter-Respondent: Case Number: 07-02943 Bank of America Investment Services. Inc. Name of the Respondent/Counter-Claimant: Hearino Site: Dallas, Texas Candice Davis-Dunn Nature of the Disputes: Member vs. Associated Person Associated Person v. Member REPRESENTATION OF PARTIES Claimant/Counter-Respondent Bank of America Investment Services, Inc. herein

Stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimante Harry Faltert>auer Connie Falterbauer Names of the Resoondente ViewTrade Securities, Inc. f/k/a ViewTrade Securities, LLC Sean Callahan Jay Noiman Brian Herman Case Number 07-00572 Hearino Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. RePRESEHTATIQN Qf PARTIES For Harry F

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number 08-00148 H&R Block Financial Advisors. Inc. Name of the Respondent Hearing Site: Tampa, Florida Douglas Studer Nature of the Dispute: Member vs. Associated Person. For IH&R Bk)ck Financial Advisors, Inc., hereinafter referred to as "Claimanf: Edward A. Walton, Assistant General Counsel, H&R Bk)ck Financial Advisors, Inc., Detroit, Michigan.

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Ryan Beck & Co., Inc. (Claimant) vs. Paul R. Martin (Respondent) Case Number: 07-01342 Hearing Site: Newark, New Jersey Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Ryan Beck & Co.. Inc., ("Claimant"): Jeffrey C. Primiano. Esq.. Stifel Nicolaus & Company, Inc., Florham Park, NJ. Respondent Paul R. Martin ("Respondent"): Mark Astarita,

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Todd Donohue and Joan Donohue (Clainnants) vs. Citigroup Global Markets. Inc. and Donald E. Smith (Respondents) Case Number: 07-02189 Hearing Site: New Yori^, New Yorit Nature of the Dispute: Customers vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Todd Donohue ("T. Donohue") and Joan Donohue ("J. Donohue"), hereinafter collectively referred to as "Claima

Award FINRA Dispute Resolution In the Matter of the Art)itration Between: Name of Claimant Case Number. 07-02417 Wachovia Securities, LLC Name of Respondent Hearina Site: Seattle, Washington Bruce W. Myere Nature of the Dispute: Member v. Associated Person REPRESENTATION OF PARTIES Claimant Wachovia Securities, LLC: Renan I. Sugarman, Esq. Renan Sugamian, P.C, Chicago, Illinois Respondent Bruce W. Myere, In Pro Se, Kiridand, Washington C

Award FINRA Dispute Resolution In the Matter of the Arisitration Between: Claimant Case Number 07-02886 Sherpa Fund, LP Respondents Hearina Site: Dallas, Texas AFS Brokerage, Inc. Robert M. Gioia Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant, Sherpa Fund, LP, hereinafter referred to as "Claimant": John R. Fahy, Esq., Whftaker. Chalk. Swindle & Sawyer. L.L.P., Fort Worth, Texas Respond