Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 07-00269 Cambridge Way, Inc. Cambridge Equity Advisors, Inc. Name of the Respondent Hearinq Site: Nashville, Tennessee Aaron Vallett Names of Third-Partv Respondents Michael Goldston Maggie Nuzum Nature of the Dispute: Member and Non-Member vs. Associated Person vs. Associated Person. REPRESENTATION OF PARTIES For Cambridg

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Estate of Donald K. Stuart, George A. Reilly, Executor (Claimant) vs. Lehman Brothers, Inc., and Michelle Stuart (Respondents) Case Number: 07-00944 Hearinq Site: New York, New York Nature of the Dispute: Customer vs. Member and Non-Member. REPRESENTATION OF PARTIES Claimant Estate of Donald K. Stuart, George A. Reilly, Executor, hereinafter referred to as "Claimant": Mark R. C

Award FINRA Dispute Resoiution In the Matter of the AriDitration Between: Name of the Claimant Case Number: 07-02470 Frederic White, Trustee, FE & Janet A. White Revocable Living Tmst, dated 7/2/1999 Name of the Respondents Hearinq Site: San Francisco, California Charies Schwab & Co., Inc. Nature of the Dispute: Customer v. Member REPRESENTATION OF PARTIES Claimant, Frederic White, Trustee, FE & Janet A. White Revocable Living Trust, dated 7/2/1

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Akram Karmo and Huda Kamno vs. Names of Respondents Robert W. Baird & Co. Incorporated, Edward Dziuba, and Alfred M. Alios Case Number: 06-00105 Hearing Site: Detroit, Michigan NATURE OF THE DISPUTE Customers vs. Member and Associated Persons REPRESENTATION OF PARTIES Akram Karmo and Huda Karmo ("Claimants") were represented by James D. Mur

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Eddie Miller vs. Name of Respondent PNC Investments Case Number. 07-00510 Hearing Site: Louisville, Kentucky NATURE OF THE DISPUTE Associated Person vs. Member REPRESENTATION OF PARTIES Eddie Miller ("Claimant") appeared in pro per. PNC Investments ("Respondent") was represented by Jeffrey S. Dunlap, Esq., Ulmer & Berne LLP, Cleveland, O

FINRA DISPUTE RESOLUTION STIPULATED AWARD FINRA DISPUTE RESOLUTION CASE: 07-02992 Margaret C. Lyon ("Claimant") vs. Merrill Lynch, Pierce, Fenner & Smith Incorporated ("Respondent") ATTORNEYS: Margaret C. Lyon appeared pro se, Winchester, MA For Merrill Lynch, Pierce, Fenner & Smith Incorporated appeared Michael J. Fortunato, Esq., Rubin, Fortunato & Harbison, P.C, Paoli, PA. NATURE OF DISPUTE: Associated Person v. Member DATE FILED: October 23,

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-05365 Katherine Griffin, individually and as trustee of the Katherine Griffin Living Trust Names of the Respondents Hearinq Site: Washington, D.C. Goldman, Sachs & Co. Lehman Brothers Inc. Sofia Fran kei Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Katherine Griffin, individually

Award FINRA Dispute Resolution Ifi the Matter of the Arbitration Between: Stuart Lantz (Claimant) vs. Lincoln Financial Advisors Corporation (Respondent) Case Number: 06-01988 Hearinq Site: Newark. New Jersey Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Stuart Lantz hereinafter referred to as "Claimant": Debra G. Speyer, Esq., Law Office of Debra Speyer, Bala Cynwyd, PA. Previously represented by Morgan W.

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 07-01363 David Dawsey Names of the Respondents Hearing Site: Birmingham, Alabama Raymond James Financial Services, Inc. Raymond James & Associates, Inc. AIG SunAmerica Life Assurance Company Chappell & Holman Financial Advisors, Inc. Ann Holman Maxine Chappell Nature of the Dispute: Customer vs. Member, Non-Member and Associated Per

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 06-02039 Fred Barrett Irene S. Barrett Walter Bell Caroline Bell Lawrence Castriotta as Personal Representative of the Estate of Ina Castriotta Lauretta DeMeo Sheldon Greenberg Dorothy Jones Alan Levy Linda Materazzi David E. Morrill Nancy J. Morrill Anthony Nales on behalf of Desarata Building Corp. Gale F