FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-03566 Paul Raymond Burns, ("Claimant") vs. Lincoln Financial Advisors, ("Respondent") ATTORNEYS: Claimant appeared pro se, Tempe, AZ. For Respondent appeared Jonathan J. Myers, Esq. of the firm Lincoln National Life Insurance Co., Fort Wayne, IN. NATURE OF DISPUTE: Associated Person vs. Member DATE FILED: December 11, 2007 CASE SUMMARY: Claimant alleged that Respondent placed incor

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Ruby S. Roos Trust. Allen D. Roos and Dean L. Roos, Successor Trustee. Leslie D. Roos Trust, Allen D. Roos and Dean L. Roos Successor Trustee, and Cecilia Johnson vs. Names of Respondents Capital Growth Financial, LLC, Wachovia Securities, LLC, VSR Financial Services, Inc., Rebecca L. Engle, Brian J. Schuster, Peter Lahti, and Paula Tu

STIPULATED AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Abdul R. Manjee, Zebunnisa R. Manjee, Prince R. Manjee, Nawab R. Manjee, Azim R. Manjee, and Arm-S Electric vs. Names of Respondents Citigroup Global Markets, Inc., Craig Alan Blue, and Gregory Allan Gilmore Case Number: 07-00302 Hearing Site: Indianapolis, Indiana NATURE OF THE DISPUTE Customers vs. Member and Associated Person

N.A.S.D. STIPULATED AWARD NA-nONAL ASSOCIATION OF SECURmES DEALERS In the Matter of the Aibitration Between Name of Claimants Jason Daniel Nuss Jeffrey Barry Nuss 94-03840 Name of Respondents David Abraham Blech D.Biech & Company, Inc. Stephen Lawrence Ross REPRESENTATION For Claimants Jason Daniel Nuss and Jeffrey Bany Nuss ("the Nusses"): Russell L. Forkey, Esq. of Russell L. Fodcey, P.A., Foit Lauderdale, Florida. For Responde

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-02835 Susan E. Clark ("Claimant") vs. Edward D. Jones & Co., LP and Doug Reese ("Respondents") ATTORNEYS: For Claimant appeared Jerrold Wanek, Esq., of the law-firm Garten & Wanek, Des Moines, lA. For Respondents appeared Lynette McCloud, Esq., in-house counsel for Edward D. Jones & Co., LP, St. Louis, MO. NATURE OF DISPUTE: Customer v. Member and Associated Person DATE FILED

stipulated Award FINRA Dispute Resolution In the Matter of tlie Arbitration Between: Name of the Claimant Case Number: 07-03040 Banc of America Investment Services, Inc. Name of the Respondent Hearing Site: Boca Raton, FL Steven J. Owens Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Banc of America Investment Services, Inc. ("BAI"), hereinafter referred to as "Claimant": D. Daxton White, Esq., Kane & Fischer,

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 07-01487 Banc of America Investment Services, Inc. Name of the Respondent Hearing Site: Los Angeles, California Arthur Castro In the Matter of the Arbitration Between: Name of the Counter-Claimant Arthur Castro Name of the Counter-Respondent Banc of America Investment Services Nature of the Dispute: Member v. Associated Person N

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Michael D. Ice (Claimant) vs. Dresdner Kleinwort Wasserstein Securities, LLC (Respondent) Case Number: 07-03299 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Michael D. Ice hereinafter referred to as "Claimant": William J. Foster, IV, Esq., McMillan, Constabile, Maker & Perone, LLP, Larchmont, NY. Re

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Ciaimant/Counter-Respondent David Savoy vs. Name of Respondent/Counter-Claimant Brewer Financial Services, LLC Case Number: 07-01731 i-learing Site: Milwaukee, Wisconsin Name of Cross Claimant (Third-Party ClaimantVCross Respondent (Counter-Respondent) Brewer Financial Services, LLC vs. Name of Cross Respondent (Third-Party RespondentVCross Claimant (Cou

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Clyde Bridgeman vs. Case Number: 06-03584 Hearing Site: Chicago, Illinois Names of Respondents Joseph Gunnar & Co., LLC and Michael D. Camp NATURE OF THE DISPUTE Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Clyde Bridgeman ("Claimant") was represented by Alan F. Block, Esq. and Jessica A. Jeffries, Esq., Block & Landsm