STIPULATED AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Wachovia Securities, LLC vs. Case Number: 06-04423 Hearing Site: Detroit, Michigan Name of Respondent Michael E. Simmers NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES Wachovia Securities, LLC ("Claimant" or "Wachovia") was represented by Diane C. Fischer, Esq., Ronald P. Kane, Esq., and Gregory B. Simon,

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-00344 Cherie A. Stokes, ("Claimant") vs. Howe Barnes Hoefer & Arnett, Inc., ("Respondent") ATTORNEYS: Claimant appeared pro se, Alameda, CA. For Respondent in-house counsel Matthew C. Boba, Esq., Chicago, IL. NATURE OF DISPUTE: Associated Person vs. Member DATE FILED: January 30, 2007 CASE SUMMARY: Claimant alleged libel/slander on Form U-5 and retaliatory termination. Claimant req

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-01600 Patricia A. Slatten (formerly Patricia A. Ritcliie), ("Claimant") vs. BOSC, Inc. and Brandy Barnes-Marion, ("Respondents") ATTORNEYS: For Claimant appeared Clell I. Cunningham, III, Esq., of the firm Dunn Swan & Cunningham, Oklahoma City, OK. For Respondents appeared Paul DeMuro, Esq., of the firm Fredric Donwart, Tulsa, OK. NATURE OF DISPUTE: Customer v. Member and Associated Pe

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-02723 Maria Delia Monteagudo, ("Claimant") vs. Wunderlich Securities and Craig Gould, ("Respondents") ATTORNEYS: Claimant appeared pro se, Cleveland, OH. For Respondents appeared Mark D. Griffin, Esq. of the firm Baker, Donelson, Bearman, Caldwell & Berkowltz, Mempiiis, TN. NATURE OF DISPUTE: Customer v. Member and Associated Person DATE FILED: September 19, 2007 CASE SUMMARY

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 07-00317 John F. Erickson Names of the Respondents Hearing Site: Washington, D.C. Meyers Associates, L.P. Robert Tucker Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES John F. Erickson ("Erickson"), hereinafter referred to as "Claimant", appeared pro se. For Respondent Meyers Associates, L.P.

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 07-02737 Melanie Bruno Name of the Respondent Hearing Site: Los Angeles, California AXA Advisors, LLC Nature of the Dispute: Customer v. Member REPRESENTATION OF PARTIES Claimant, Melanie Bmno, hereinafter referred to as "Claimant": Milton H. Fried, Jr., Esq., The Hayes Law Firm, P.C, Houston, Texas Respondent, AXA Advisors, LLC ("AXA")

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Piper Jaffray, Inc., Claimant v. Alan Fishman, Respondent Case Number: 04-01248 Hearing Site: San Diego, CA Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES For Claimant: Elizabeth H. Lindh, Esq. Keesal, Young & Logan Long Beach, California For Respondent: R. Craig Zafis, Esq. Law Offices of Craig R. Zafis San Diego, Californi

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 05-04554 David McCoy Names of the Respondents Hearing Site: Tampa, Florida GunnAllen Financial, Inc. Richard Frueh Donald J. Gunn Bradley Fay Richard Nummi Names of the Third Partv Claimants GunnAllen Financial, Inc. GunnAllen Holdings, Inc. Names of the Third Partv Respondents David McCoy McCoy Rep Services, Inc.

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Almax Investments, LLC vs. Case Number: 07-01620 Hearing Site: Chicago, Illinois Names of Respondents EROOM Securities LLC, Michael P. Moore, and Sarah Moore NATURE OF THE DISPUTE Non-Member vs. Member, Associated Person, and Non-Member REPRESENTATION OF PARTIES Almax Investments, LLC ("Claimant" or "Almax") was represented by Stephen P. Bedell,

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants George C. Bartram and Viola W. Bartram vs. Case Number: 05-06277 Hearing Site: Dallas, Texas Name of Respondent Edward D. Jones & Company, LP NATURE OF THE DISPUTE Customers vs. Member REPRESENTATION OF PARTIES George C. Bartram and Viola W. Bartram ("Claimants") were represented by Richard A. Lewins, Esq., Berg Simpson Eldredge Hersh & Jardin