AWARD FINRA Dispute Resolution In the Matter ofthe Arbitration Between: Name of Claimant/Counter-Resoondent Wells Fargo Investments, LLC vs. Case Number: 05-06273 Hearing Site: IHouston, Texas Name of Resoondent/Counter-Ciaimant/Third-Partv Claimant Laura M. Rowley vs. Names of Third-Partv Respondents James Neville Jackson and William Colin Seibert NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES W

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant/Counter-Resoondent Thomas C. Powers vs. Case Number: 05-00505 Hearing Site: Chicago, Illinois Names of Resoondents/Counter-Claimants New England Life Insurance Company, New England Securities, and Metropolitan Life Insurance Company NATURE OF THE DISPUTE Associated Person vs. Members and Non-Member REPRESENTATION OF PARTIES Thomas C. Powers

Award FINRA Dispute Resolution In the Matter ofthe Arbitration Between: Charles R. Cariello and Marie Cariello (Claimants) vs. Wallstreet Electronica, Inc., Frank Donnauro, Marco Gulino, Carlos Francisco Otalvaro, and Christopher Jolly (Respondents) Case Number: 07-01816 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimants Charles R. Cariello ("C. Cariello") and Mari

Award FINRA Dispute Resolution In tlie Matter ofthe Arbitration Between: Daniel J. Dart (Claimant) vs. Pioneer Funds Distributor, Inc., Pioneer Investment Management, Inc., and Pioneer Investment Management USA, Inc. (Respondents) Case Number: 06-04399 Hearing Site: Boston, Massachusetts Nature of the Dispute: Associated Person vs. Member and Non-Members. REPRESENTATION OF PARTIES Claimant Daniel J. Dart hereinafter referred to as "Claimant": Dan Drisco

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: UMann Fund Management, LLC, Paul Umansl^y and Jeffrey Mann (Claimants) vs. Triumph Global Securities, Ltd. (Respondent) Case Number: 07-01902 Hearing Site: New Yorl< . New York Nature of the Dispute: Non-Member and Associated Persons vs. Member. REPRESENTATION OF PARTIES Claimants UMann Fund Management, LLC ("UMann"), Paul Umansky ("Umansky"), and Jeffrey Mann ("Mann"), hereinaf

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: SunAmerica Securities, Inc. (Claimant) vs. Peter Michael Sloan, or. (Respondent) Case Number: 05-04546 Hearing Site- i^ewark. New Jersey Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant SunAmerica Securities Inc., hereinafter referred to as "Claimant": Barry R. Temkin, Esq., The Law Offices of Edward Garfinkel, New York, NY. Respondent Pet

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Bernice M. Bonebrake TTEE and Bernice (Berniece) M. Bonebrake Rev. Trust vs. Names of Respondents Capital Growth Financial, LLC, KFS-BD, Inc., Wachovia Securities, LLC, Brian J. Schuster, and Rebecca L. Engle Case Number: 06-03014 Hearing Site: Omaha, Nebraska NATURE OF THE DISPUTE Customers vs. Terminated Member, Members, and Associated P

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-01691 Raymond James & Associates, Inc., ("Claimant") vs. Dominic Lombardo, ("Respondent") ATTORNEYS: For Claimant appeared in-house counsel Kelli Bullington, Esq., St. Petersburg, FL. Respondent appeared pro se, Fort Wayne, IN. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: May 31, 2007 CASE SUMMARY: Claimant alleged that Respondent breached a contract by failing to

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-02583 Christopher and Yvonne Spain ("Claimants") vs. E*Trade Securities LLC ("Respondent") ATTORNEYS: Christopher and Yvonne Spain appeared pro se, McKinney, TX. For E*Trade Securities LLC appeared in-house counsel, John Bersin, Roseville, CA. NATURE OF DISPUTE: Customer v. Member DATE FILED: September 6, 2007 CASE SUMMARY: Claimants alleged that Respondent took 200 shares of Lucent an

AWARD FINRA DISPUTE RESOLUTION In the Matter of the Arbitration Between: Thomas E. Collins, Jr., and Heather Collins (Claimants) vs. Lawrence Joseph Ferrari (Respondent) Case Number: 08-00898 SITUS: Buffalo, New York NATURE OF DISPUTE: Customer v. Associated Person. REPRESENTATION OF PARTIES Thomas E. Collins, Jr., ("T. Collins") and Heather Collins ("H. Collins"), hereinafter collectively referred to as "Claimants": Walter J. Wiggins, Wiggins a