AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Doris Winbum and Bernice E. Wright vs. Names of Respondents A.G. Edwards & Sons, Inc., Sheny Denise Holley, and Byron Lee Holley Case Number: 07-02499 Hearing Site: Louisville, Kentucky NATURE OF THE DISPUTE Customers vs. Member and Associated Persons Doris Winbum ("Winbum") and Bemice E. Wright ("Wright"), hereinafter collectively ref

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants: Case Number: 00-05367 Souad Y. Widmeyer. Harry Iverson, and Audrey Iverson Names of the Respondents: Hearino Site: Los Angeles, California Jeffco Financial Services, San Clemente Securities, Inc., InterFirst Capital Corporation, United Custodial Corporation, Coolie B. Christopher, Thomas H. Sunderiand, Frank Sullivan, Stoney J. Lee, and Jeffrey A

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants: Case Number: 02-03841 Jae C. Kim and Soon J. Kim Names of the Respondents: Hearino Site: Los Angeles, California Daehan Securities. Inc., Rowe H. Park, Yong S. Kim, Sae H. Chung, Jai Y. Son, Young- Jin Lee, and In Dong Oh Nature of the Dispute: Customers v. Member and Associated Persons REPRESENTATION OF PARTIES Claimants Jae C. Kim and Soon J. Kim,

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 07-01168 Jerry Mote Respondents Hearing Site: Boise, Idaho First Allied Securities, Inc. John F. Cox Joan F. Block Nature of the Dispute: Customer vs. Member and Associated Persons REPRESENTATiON OF PARTIES Claimant, Jerry Mote, hereinafter referred to as "Claimant": Laurel H. Siddoway, Esq., Randall & Danskin, P.S., Spokane, Washington. Re

Stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 07-007g6 John Simon Name of the Respondents Hearing Site: Boca Raton, Florida CIBC Worid Maritets Corp. Jeff Bank Susan Suthertand Arthur Lewis Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For John Simon, hereinafter referred to as "Claimant": Scott Silver, Esq., Blum & Silve

Stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 07-02404 Waddell & Reed, Inc. Name of the Respondent Hearing Site: Washington. P.C. A. Christopher Waddell Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Waddell & Reed, Inc. ("WRI"), hereinafter referred to as "Claimant": Matthew R. Stammel, Esq., Vinson & Eli< ins L.L.P., Dallas, TX. For A

AWARD FINRA Dispute Resolution In the IVIatter of the Arbitration Between: Name of Claimant Mary D. Yearsley vs. Names of Respondents Capital Growth Financial, LLC, KFS-BD, Inc., Wachovia Securities, LLC, VSR Financial Services, Inc., Rebecca L. Engie, and Brian J. Schuster Case Number: 06-05148 Hearing Site: Omaha, Nebrasio NATURE OF THE DISPUTE Customer vs. Terminated Members, Members, and Associated Persons REPRESENTATION

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Estate of Lewis A. Scull, Jr., Deceased vs. Case Number: 07-01864 Hearing Site: Pittsburg, Pennsylvania Names of Respondents BPU Investment Group, Inc., BPU Investment Management, Inc., BPU Investments, Inc., BPU Investment, Inc., Berkowitz, Pierchalski, Inc., BP Investment Partners I LP, BP Investment Partners II LP, BP Investment Partn

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Robert Harth, Trustee for the Trust of Elizabeth Harth (Claimant) v. Wachovia Securities, LLC, Herbert A. Roemmele, Trina Mary Louise Mitsch and Charies Robert Faig (Respondents) Case Number: 07-00957 Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Customer v. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant Trust of Elizabeth Harth,

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 07-02031 Osvaldo Alfonso Names of the Respondents Hearing Site: Boca Raton, Florida Merrill Lynch, Pierce, Fenner & Smith, Inc. ICMA-RC Services, LLC Knickeita A. Vassel-Bullock Kalson & Associates Ernst & Young Corporate Finance (Canada) Nature of the Dispute: Customer vs. Member, Non-Member and Associated Person. REPRESENTATION OF