Award FINRA Dispute Resolution In the Matter of the Arbitration Between: John McQueen (Claimant) v. A.G. Edwards & Sons, Inc., and Jason Parlato (Respondents) Case Number: 06-02098 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant John McQueen hereinafter referred to as "Claimant" appeared pro se. Previously represented by James J. Corbett, Esq., Law Offices

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: CCO Investment Services Corp. (Claimant) vs. Peter B. Coley and Citigroup Global Markets, Inc., (Respondents) Case Number: 08-00456 Hearina Site: Boston, Massachusetts Nature of the Dispute: Member vs. Associated Person and Member. REPRESENTATION OF PARTIES Claimant CCO Investment Services Corp., hereinafter referred to as "Claimant": David M. Belcher, Esq., Belcher, Starr & Fi

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-00068 Shirley Kathleen Paessler, ("Claimant") vs. E*Trade Securities LLC, ("Respondent") ATTORNEYS: Claimant appeared pro se, Las Vegas, NV. For Respondent appeared in house counsel John Bersin, Esq., Roseville, CA. NATURE OF DISPUTE: Customer vs. Member DATE FILED: January 4, 2008 CASE SUMMARY: Claimant alleged that Respondent negligently handled her account and failed to address

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Banc of America Investnnent Services, Inc. (Claimant) vs. Gabriel DeFeo (Respondent) vs. Martin Courage, Louis Garofono, and Karen Ellis (Third-Party Respondents) Case Number: 07-00701 Hearina Site: Providence, Rhode Island Nature of the Dispute: Initial Claim: Member vs. Associated Person. Third-Party Claim: Associated Person vs. Associated Persons. REPRESENTATION OF PARTIES

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Paul Vagnozzi, individually and as Executor of the Estate of Charlotte Vagnozzi (Claimants) vs. UBS PaineWebber n/k/a UBS Financial Services, Inc., and Enrico Caiazzo (Respondents) Case Number: 07-03435 Hearina Site: Philadelphia, Pennsylvania Nature of the Dispute: Customers vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Paul Vagnozzi ("Vagnozzi") and th

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-03083 RBC Dain Rauscher Inc. ("Claimant/Counterclaim Respondent") v. Anthony Russo ("Respondent/Counterclaim Claimant") ATTORNEYS: For Claimant/Counterclaim Respondent appeared Carolyn Guy, Esq., in-house counsel, Minneapolis, MN. Respondent/Counterclaim Claimant appeared Pro se, Highland Ranch, CO. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: November 1, 2007 CAS

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-03550 Jack Heide, ("Claimant") vs. TD Ameritrade Inc., ("Respondent") ATTORNEYS: Claimant appeared pro se, Hartsdale, NY. For Respondent appeared in-house counsel Kelly R. Davis, Esq., Bellevue, NE. NATURE OF DISPUTE: Customer vs. Member DATE FILED: December 19, 2007 CASE SUMMARY: Claimant alleged that Respondent should not have charged him transfer fees and charges. Claimant maint

STIPULATED AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Dale W. Wise vs. Case Number: 02-04882 Hearing Site: Chicago, Illinois Names of Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. and Bernard C. Ringer NATURE OF THE DISPUTE Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Dale W. Wise ("Claimant") was represented by Paul J. Sussman, Esq., Law Offices of Paul

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Milton J. Leeman vs. Name of Respondent George L. Babyak Case Number: 08-00207 Hearing Site: Columbus, Ohio NATURE OF THE DISPUTE Associated Person vs. Customer REPRESENTATION OF PARTIES Milton J. Leeman ("Claimant") was represented by W. Scott Turnbull, Esq., Miller Canfield Paddock and Stone, P.L.C., Detroit, Michigan. George L. Babyak

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Juluru P. Rao (Claimant) v. Investec Ernst & Company and Mark Ketner (Respondents) Case Number: 06-02002 Hearing Site: Newark, New Jersey Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Juluru P. Rao hereinafter referred to as "Claimant": Kim Steven Juhase, Esq., Novak & Juhase, Roseland, NJ. Respondents Investec E