Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant: Case Number: Raymond James Stockus 07-02163 Name of the Respondents: Hearing Site: Brookstreet Securities Corporation, Los Angeles, California and National Financial Services LLC Name of the Cross-Claimant: Brookstreet Securities Corporation Name of the Cross-Respondent: National Financial Services LLC Nature of the Dispute: Associated Person v

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Jesse Villanreal, Jr., Claimant v. Raymond James Financial Services, Inc., Respondent Raymond James Financial Services, Inc. Counter-Claimant v. Jesse Villarreal, Jr., Counter-Respondent Case Number: 06-02740 Hearinc Site: Portland. Oregon Nature of the Dispute: Associated Person v. Member Member v. Associated Person REPRESENTATION OF PARTIES For Claimant/Counter-Respondent

Stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant John S. Phillips Name of the Respondent Lincoln Financial Distributors, Inc. Case Number: 07-02957 Hearing Site: Denver, Colorado Nature of the Dispute: Associated Person v. Member REPRESENTATION OF PARTIES Claimant, John S. Phillips, hereinafter referred to as "Claimant": John S. Lutz, Esq., Fairfield and Woods, P.C. Denver. Colorado

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Ronald B. Schmoll and Geriind R. Schmoll, JT TEN Ronald B. Schmoll Roth IRA Ronald B. Schmoll Rollover IIRA Geriind R. Schmoll Rollover IRA Case Number: 07-01303 Names of the Respondents Kenneth J. Pujdak H. D. Vest Investment Services, Inc. AIS Financial, Inc. Workman Securities Corporation Advantage Advisory Services, Inc. He

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Prudential Equity Group, LLC f/k/a Prudential Securities, Inc. vs. Case Number: 06-02570 Hearing Site: Dallas, Texas Name of Respondent Chad J. Johnson NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES Prudential Equity Group, LLC f/k/a Prudential Securities, Inc. ("Claimant") was represented by Erin A. Rowin, Esq.

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Dawne Ann Ferland vs. Case Number: 07-01821 Hearing Site: Cincinnati, Ohio Name of Respondent A.G. Edwards & Sons, Inc. NATURE OF THE DISPUTE Associated Person vs. Member REPRESENTATION OF PARTIES Dawne Ann Ferland ("Claimant") was represented by Theresa M. Mohan, Esq., Law Offices of B. Dahlenburg Bonar, P.S.C, Covington, Kentucky, as of on or

. FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-03084 Lee W. Tower, ("Claimant") vs. Wachovia Securities, LLC, Mark Douglas Panfil, Aldo Lozano and David Matthew Altshuler, ("Respondents") ATTORNEYS: Claimant appeared pro se, Rancho Palos Verdes, CA. For Respondents appeared Michael Naccarato, Esq., in-house counsel for A.G. Edwards & Sons, Inc., St. Louis, MO. NATURE OF DISPUTE: Customer v. Member and Associated Persons DATE

stipulated Award FiNRA Dispute Resolution In the Matter of the Arbitration Between: Sheila Whitcomb (Claimant) v. Commonwealth Financial Network and Stephen F. White (Respondents) Case Number: 05-06272 Hearing Site: Manchester, New Hampshire Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Sheila Whitcomb hereinafter referred to as "Claimant": Robert A. Uhl, Esq., Aidikoff, Uhl & Bakhtiari, Beverly

FINRA DISt^UTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-03180 Smith Barney, a division of Citigroup Global Maritets, Inc. by and through its assignee DSP, LLC, ("Claimant") vs. Joshua Levine, ("Respondent") ATTORNEYS: For Claimant appeared Justin Joseph D'Elia, Esq.. of the firm Duane Morris LLP, New Yorit, NY. Respondent appeared pro se.Teaneck, NJ. NATURE OF DISPUTE: Member vs. Customer DATE FILED: November 9,2007 CASE SUMMARY: C

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-03191 Smith Barney, a division of Citigroup Global Markets, Inc. by and through its assignee DSP, LLC, ("Claimant") vs. Tony Cheng, ("Respondent") ATTORNEYS: For Claimant appeared Justin Joseph D'Elia, Esq., of the fimn Duane Morris 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