Stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: John R. Wallis, and John R. Wallis IRA, Claimants Case Number. 07-01236 CIBC World Markets Corp., Respondents Hearina Site: Houston. Texas Nature of the Dispute: Customers vs. Member REPRESENTATION OF PARTIES For Claimants John R. Wallis, and John R. Wallis IRA hereinafter collectively referred to as "Claimant": Philip M. Aidikoff. Esq.. Robert A. Uhl. Esq.. and Ryan K.

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: David Franck. Claimant Case Number: 07-00117 Ameriprise Financial Services. Inc., Respondent Hearinq Site: Boise, Idaho Nature of the Dispute: Customer v. Member REPRESENTATION OF PARTIES For Claimant David Franck: Debra Hayes, Esq.. Charles C. Hunter, Esq.. Woska & Hayes, LLP, Houston. Texas For Respondent Ameriprise Financial Services, Inc.: Thomas P. Swigert. Esq., Gretc

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Karen Schwartz. Claimant v. Banc of America Investment Services. Inc.. Respondent Case Number: 07-01105 Hearina Site: San Diego, California Nature of the Dispute: Customer v. Member REPRESENTATION OF PARTIES For Claimant: Lawrence L. Klayman, Esq. Steven D. Toskes, Esq. Klayman & Tosl< es. P.A. Boca Raton, Florida For Respondent: Rodney Aci^er. Esq. Genna Stephens. E

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 07-00352 Merrill Lynch. Pierce. Fenner & Smith incorporated Name of the Respondent Hearina Site: Houston. Texas Crystal L. Steele Name of the Counter-Claimant Crystal L. Steele Name of the Counter-Respondent Merrill Lynch. Pierce, Fenner & Smith incorporated Nature of the Dispute: Member v. Associated Person Associated Person v. Mem

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants Clinton and Julie Howe Name of the Respondents BancWest Investment Services, Inc. Bank of the West Gregory Geis Allstate Life Insurance Company Case Number: 06-05130 Hearina Site: San Francisco. California Nature of the Dispute: Customers v. Members. Non-Member and Associated Person REPRESENTATION OF PARTIES Claimants. Clinton and Julie

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Thomas P. Fitzgerald vs. Case Number: 05-02411 Hearing Site: Southfield, Michigan Names of Respondents H&R Block Financial Advisors, Inc., H&R Block, inc., HRB Management, Inc., and H&R Block Severance Plan NATURE OF THE DISPUTE Associated Person vs. Member and Non-Members REPRESENTATION OF PARTIES Thomas P. Fitzgerald ("Claimant") was repre

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Richard MacLennan (Claimant) vs. Citigroup Global Markets, inc. (f/k/a Salomon Smith Barney. Inc. (Respondent) Case # 05-04806 Hearina Site: Hartford. Connecticut consolidated with Richard MacLennan (Claimant) vs. Citigroup Global Markets, inc. (f/k/a Salomon Smith Barney (Respondent) Case Number: 07-00183 Hearina Site: Hartford. Connecticut Nature of the Dispute (05-04806)

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-02563 Pamela S. Neidhart-Ring Trustee and Executor of the Alvinett Elizabeth Neidhart Trust and Estate ("Claimant") vs. Scotty W. Schoettiin and Citicorp investment Services ("Respondents") ATTORNEYS: For Pamela S. Neidhart-Ring Trustee and Executor of the Alvinett Elizabeth Neidhart Trust and Estate ("Claimant") appeared Pamela Neidhart-Ring. Mission Viejo. CA For Citicorp investment

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-02095 Stephen S. Francis ("Claimant") vs. E*Trade Securities LLC ("Respondent") ATTORNEYS: Stephen S. Francis ("Claimant") appeared pro se, Saratoga. CA For E*Trade Securities LLC ("Respondent") appeared John Bersin. Esq., Roseville, CA NATURE OF DISPUTE: Customer v. Member DATE FILED: July 14, 2007 CASE SUMMARY: Claimant alleged that Respondent erroneous withheld from his traditio

Award FINRA Dispute Resoiution In the Matter of the Arbitration Between: Victor P. Siiano (Claimant) vs. RBC Dain Rauscher (Respondent) Case Number: 06-04146 Hearina Site: New York. New York Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Victor P. Siiano hereinafter referred to as "Claimant": Laurent S. Drogin. Esq.. Tarter Krinsky & Drogin, LLP. New York, NY. Respondent RBC Dain Rauscher (named by Claimant a