Modified Award FINRA Dispute Resolution In the Matter of the Arbitration Between: RBC Dain Rauscher Inc. (Claimant) vs. Frank Foerster (Respondent) Case Number: 06-05040 Hearing Site: New York, New Yorl< Nature of the Dispute: IVIember vs. Associated Person. REPRESENTATION OF PARTIES Claimant RBC Dain Rauscher Inc., hereinafter referred to as "Claimant": Patrick J. Howley, Esq., RBC Dain Rauscher, Florham Park, NJ. Respondent Frank Foerster hereinaf

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants: Case Number: 07-01762 Richard E. Bantz, and Ana L. Bejar-Bantz, as trustees of and for the Bantz Revocable Living Trust Name of the Respondents Hearing Site: Phoenix, Arizona First Financial Equity Corporation David Rhee Nature of the Dispute: Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Claimants, Richard E. Bantz ("Ba

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants Case Number: 07-00689 Bert A. Smith On Behalf of the Bert A. Smith IRA and as Trustee of the Bert A. Smith 1988 Trust DTD 9/29/1988 and Marjorie A. Smith Name of the Respondents Hearing Site: Reno, Nevada Associated Securities Corp. Patricia F. Meidell Laif E. Meidell Nature of the Dispute: Customers v. Member and Associated Persons

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 07-01355 Adele Nathanson J & A Nathanson Family Trust Names of the Respondents Hearina Site: Baltimore, IVlaryland Wachovia Securities, LLC Chris Haera Don Klein Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Adele Nathanson ("Nathanson") and J & A Nathanson Family Trust ("Family Tr

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-04165 Johnnie Lloyd Name of the Respondent Hearing Site: Tampa, Florida Raymond James Financial Services, Inc. Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES For Johnnie Lloyd, hereinafter referred to as "Claimant": Tarya A. Tribble, Esq., Tarya A. Tribble, P.A., Riverview, Florida. For Raymond James F

stipulated Award FINRA Dispute Resolution in the Matter of the Arbitration Between: Name of the Claimant Case Number: 07-02382 Wachovia Securities Financial Network, LLC Name of the Respondent l-learina Site: Boca Raton, Florida William D. Johnson, Jr. Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Wachovia Securities Financial Network, LLC ("Wachovia"), hereinafter referred to as "Claimant": Gregory S. Tendri

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants IFMG Securities, Inc., IFS Agencies, Inc., and Citizens Bank vs. Name of Respondent Myra Roenicke and Name of Counter-Claimant Myra Roenicke vs. Name of Counter-Respondent Citizens Bank Case Number: 07-01694 Hearing Site: Detroit, Michigan NATURE OF THE DISPUTE Member and Non-Members vs. Associated Person REPRESENTATION

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 07-01399 J.B. Hanauer & Co. Names of the Respondents Hearing Site: Boca Raton, Florida Morgan Keegan & Company, Inc. Michael Gold Nature of the Dispute: Member vs. Member and Associated Person. REPRESENTATION OF PARTIES For J.B. Hanauer & Co. ("J.B. Hanauer"), hereinafter referred to as "Claimant": Jeffrey L. Cox, Esq., Sallah & Cox, LL

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Estate of Samuel Saunders Annette Saunders Names of the Respondents Oppenheimer & Co., Inc. Peter Mark Bizinkauskas Case Number: 07-01651 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Estate of Samuel Saunders ("S. Saunders"), and Annette Saunders ("A. Saun

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 07-00375 Joanne Manchester Names of the Respondents Hearina Site: Oriando, FL Morgan Stanley DW Inc. John Scheck Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Joanne Manchester, hereinafter referred to as "Claimant": J. Benton Stewart, II, Esq., Stewart Law, P.L.L.C, Tampa, FL. For M