Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Libucki and Company, LLC (Claimant) v. Birchwood Securities Corporation (Respondent) Case Number: 07-02052 Hearing Site: Philadelphia, Pennsylvania Nature or tne uispute: Non-Memoer vs. Memoer. REPRESENTATION OF PARTIES Claimant Libucl^i and Company, LLC, hereinafter referred to as "Claimant": Debra G. Speyer, Esq., Law Offices of Debra G. Speyer, Philadelphia, PA. Responde

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Alaa Elhamrawy (Claimant) vs. Online Brokerage Sen/ices, Inc. (Respondent) Case Number: 07-02867 Hearing Site: Boston, Massachusetts Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Alaa Elhamrawy hereinafter referred to as "Claimant" appeared pro se. Respondent Online Brokerage Services, Inc., hereinafter referred to as "Respondent": Kevin M. Over

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-00746 Edwin and M'tchetle Lee, ("Claimants'') vs. Merrill Lynch, Pierce Fenner &Smith, inc., CRespondenf) ATTORNEYS: Claimants appeared pro se, Chatham, NJ. For Respondent appeared Angela A. Turiano, Esq., of the firm Bressier, Amery & Ross, P.C, New York, NY. NATURE OF DISPl/TE: Customers vs. Member DATE FILED: March 10, 2008 CASE SUMMARY: Claimants alleged that Respondent mad

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 07-01912 Leonard D. Miles & Marian J. Miles. JTWROS The Estate of Leonard D. Miles, Marian J. Miles, Executrix Marian J. Miles IRA Marian J. Miles Family Trust, TTEE U/A DTD 5/15/00 FBO Marian J. Miles Names of the Respondents Hearing Site: Oriando, Florida Bear, Steams Securities Corp. MidSouth Capital, Inc. Name of the Third

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 06-05306 Lorenza Ramos de Vildosola, individually, Gustavo A. Vildosola Castro, individually, by and through his attorney-in-fact Lorenza Ramos de Vildosola, and Lorenza Ramos de Vildosola and Gustavo A. Vildosola Castro, as trustors and vested beneficiaries of The Gustavo A. Vildosola C. and Lorenza Ramos de Vildosola Trust Agreement

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 07-02359 Banc of America investment Services, Inc. Name of the Respondent Hearing Site: Orlando. Florida Michael W. Cole Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Banc of America investment Services. Inc. ("BOA"), hereinafter referred to as "Claimant": Thomas A. Volz, Esq., Kane & Fischer, Ltd., Chic

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Stifel, Nicolaus & Co., Inc., Herbert C. Keyser, III, David P. Luna, Michael Chris Nielsen, Lisa A. Evans. Edward F. Gutierrez, Jon A. Bostrom, Raymond C. Reed. Christopher S. Dral^e. Donald L. Johns. Manuel D. Lozano. Linda M. Swart-Scipione, Lisa M. McCrea. and Anthony A. Russo vs. Names of Respondents A.G. Edwards & Sons. inc. and Wachovia

STIPULATED AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Oppenheimer & Co., Inc. vs. Case Number: 05-01538 Hearing Site: Chicago, Illinois Name of Respondent Estate of Kenneth R. Cecil NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES Oppenheimer & Co., Inc. ("Claimant" or "Oppenheimer") was represented by Mark L. Kowalsky, Esq., Jaffa, Raitt, Heuer& Weiss, PC, So

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-03416 Sonia L. Moriarty, ("Claimant") vs. Edward D. Jones, LLP, ("Respondent") ATTORNEYS: Claimant appeared pro se. Morrow, GA. For Respondent appeared in-house counsel Kimberly Monroe, Esq., St. Louis, MO. NATURE OF DISPUTE: Customer vs. Member DATE FILED: November 27, 2007 CASE SUMMARY: Claimant alleged that Respondent misrepresented facts regarding her account and a loan. Claima

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-00157 Samuel P. Short, ("Claimant") vs. Morgan Keegan & Company Inc. and James Kelsoe, ("Respondents") ATTORNEYS: Claimant appeared pro se, Brookwood, AL. For Respondents appeared in-house counsel Shea O'Brien Hicks, Esq., Memphis, TN. NATURE OF DISPUTE: Customer v. Member and Associated Person DATE FILED: January 14, 2008 CASE SUMMARY: Claimant alleged that Respondents placed