Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 07-01882 William G. Forsyth, III Robert Brett Forsyth Names of the Respondents Hearing Site: Birmingham, Alabama Morgan Keegan & Company, Inc. William G. Forsyth, Jr. Regions Financial Corporation Nature of the Dispute: Customer vs. Member, Customer and Non-Member. REPRESENTATION OF PARTIES For William G. Forsyth, III ("W. Forsyth

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 07-01953 Lisa R. Hart Name of the Respondent Hearing Site: Memphis, Tennessee Signator Investors, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Lisa R. Hart, hereinafter referred to as "Claimant": Richard B. Fosher, Esq. and Bruce D. Oakes, Esq., Simmons Cooper, LLC, East Alton, Illinois. For Signator In

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-03197 Smith Barney, a division of Citigroup Global Markets, Inc. by and through its assignee DSP, LLC, ("Claimant") vs. Alan Haber, ("Respondent") ATTORNEYS: For Claimant appeared Justin Joseph D'Elia, Esq., of the firm Duane Monris LLP, New York, NY. Respondent did not submit an Answer to the Statement of Claim. NATURE OF DISPUTE: Member vs. Customer DATE FILED: November 9, 2007

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-03339 Vision Securities Inc., ("Claimant") vs. Lewis Joseph Franklin III, ("Respondent") ATTORNEYS: For Claimant appeared Martin P. Unger, Esq., of the firm Certilman Balin Adier & Hyman, LLP, Hauppauge, NY. Respondent did not submit an Answer to the Statement of Claim. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: November 21, 2007 CASE SUMMARY: Claimant alleged that

FINANCIAL INDUSTRY REGULATORY AUTHORITY DISPUTE RESOLUTION RICHARD OLSZEWSKI, Claimant, - against - ALLIANCE CAPITAL MANAGEMENT, L.P., ALLL\NCE CAPITAL MANAGEMENT HOLDING, L.P., ALLIANCE CAPITAL MANAGEMENT CORPORATION, ALLIANCEBERNSTEIN INVESTMENT RESEARCH AND MANAGEMENT, INC., ALLIANCEBERNSTEIN L.P., ALLIANCEBERNSTEIN INVESTMENTS, INC., and LEWIS SANDERS, an individual. FINRA Case No. 07-00643 STIPULATED AWARD Respondent

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant: Case Number: 07-03519 Marc A. Saunders Terri Saunders Name of the Respondent: Hearina Site: Denver, Colorado Wachovia Securities, LLC Nature of Dispute: Associated Person and Non-Member v. Member REPRESENTATION OF PARTIES Claimants Marc A. Saunders and Terri Saunders, hereinafter collectively referred to as "Claimants": Kenneth B. Siegel, Esq., She

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimants Case Number: 07-02897 A.G. Edwards & Sons, Inc., and Wachovia Securities, LLC Respondents Stifel, Nicolaus & Co. Inc., Samuel Slayden, Denise Gilseth Cathy McJilton, and Kelly Stromgren Counter-Claimants Samuel Slayden, Denise Gilseth, Cathy McJilton, and Kelly Stromgren, Counter-Respondents A.G. Edwards & Sons, Inc. and Wachovia Securities, LLC

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Carl D. Garrett vs. Case Number: 07-02093 Hearing Site: St. Louis, Missouri Name of Respondent Flagstone Securities, LLC NATURE OF THE DISPUTE Associated Person vs. Member REPRESENTATION OF PARTIES Carl D. Garrett ("Claimant") was represented by J. Christopher Wehrle, Esq., Goldberg Wehrle, LLC, St. Louis, Missouri. Flagstone Securities, LLC

AWARD FiNI^ Dispute Resoiution In the Matter of the Arbitration Between: Names of Claimants Kim Yonkers and Linda Yonkers vs. Case Number: 07-01118 Hearing Site: Cleveland, Ohio Names of Respondents Empire Financial Group, Inc. and George Jeffers NATURE OF THE DISPUTE Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Kim Yonkers and Linda Yonkers ("Claimants") were represented by Andrew Stoitmann, Esq., Stoitmann L

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants / Counter-Respondents James Sarkauskas, Sr. and Brokers Turn, inc. vs. Case Number: 06-04186 Hearing Site: Milwaukee, Wisconsin Name of Respondent / Counter-Claimant First Allied Securities, Inc. NATURE OF THE DISPUTE Associated Person and Non-Member vs. Member REPRESENTATION OF PARTIES James Sarkauskas, Sr. and Brokers Turn, Inc. ("Claimants") we