FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-02180 Robert M. Aspin and Marialine A. Verdickt, ("Claimants") vs. Interactive Brokers LLC, ("Respondent") ATTORNEYS: Claimants appeared pro se, Tubli Bahrain, Saudi Arabia. For Respondent appeared in-house counsel, John J. Nielands, Esq., Washington, DC. NATURE OF DISPUTE: Customers vs. Member DATE FILED: July 24, 2007 CASE SUMMARY: Claimants alleged that Respondent breached its f

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-02102 Donald Storer, ("Claimant") vs. E*Trade Securities LLC, ("Respondent") ATTORNEYS: Claimant appeared pro se, Wantagli, NY. For Respondent appeared in-house counsel, Jolin Bersin, Esq., Roseville, CA. NATURE OF DISPUTE: Customer vs. Member DATE FILED: July 16, 2007 CASE SUMIVIARY: Claimant alleged that Respondent misrepresented facts regarding buying and selling of stock. Claim

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-04088 William J. Pickert Names of the Respondents Hearinq Site: Wilmington, DE McLaughlin, Piven, Vogel Securities. Inc. Steven D. Ircha Name of the Third-Partv Respondent TD AMERITRADE, Inc. f/k/a Ameritrade, Inc. Nature of the Dispute: Customer vs. Member and Associated Person vs. Member. REPRESENTATION OF PARTIES For William J

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 06-04080 Delie Anthony Ruby Arrington Curtis Barnes Robert Lee Beamon Ruth R. Beamon Eddie Cooper Mamie Cooper Shiriey A. Davis Linda Durham Excell Finch Alma Finch William E. Gaines William Harrell Jr. Samuel Harrell as Personal Representative of Willie Harrell, Deceased Rita M. Harris Mary B. Henderso

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 05-06708 William J. Strawbridge, Jr. Names of the Respondents Hearinq Site: Boca Raton, Florida Ferris, Baker Watts, Inc. Alfred Morse Osgood, Jr. Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For William J. Strawbridge, Jr. ("Strawbridge"), hereinafter referred to as "Claimant": Christopher

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Behveen: Ronald L. and Shelli M. Elledge Case Number: 07-01955 Claimants Edward D. Jones, LLP, Kevin M. Wittig Hearina Site: Phoenix, Arizona and Brian J. Tollefson, Respondents Nature of the Dispute: Customers v. Member and Associated Persons REPRESENTATION OF PARTIES For Claimants: Eddie A. Pantiliat, Esq. Hymson Goldstein & Pantiliat, P.C. Scottsdale, Arizo

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: See More Light Investments, Claimant v. Morgan Stanley DW Inc., Respondent Case Number: 06-02597 Hearina Site: Phoenix, Arizona Nature of the Dispute: Customer v. Member REPRESENTATION OF PARTIES For Claimant: Seymour Licht, PhD. See More Light Investments Scottsdale, Arizona For Respondent: Anthony L. Valenzuela, Esq. Debbie Whitaker Morgan Stanley DW Inc. San

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Penson Financial Services, Inc., Claimant v. MISR Securities International, Respondent Case Number: 06-05369 Hearina Site: Dallas, Texas Nature of the Dispute: Member v. Customer REPRESENTATION OF PARTIES For Claimant: Will S. Montgomery Hunton & Williams LLP Dallas, Texas For Respondent: Debra G. Speyer Law Offices of Debra G. Speyer Philadelphia, Pennsylvania

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Laura Dao as Trustee of The Moonlight Miracle Tmst and Catherine Dao Trustee of The Amazing Destiny Tmst, Claimants v. Sll Investments, Inc., Jeffrey E. Reed, Cario J. Sparacino, David W. Crist, Edward A. Reguero, and The WIN-Team Insurance Services, Inc. Respondents Case Number: 07-00519 Hearing Site: Los Angeles. California Nature of the Dispute: Customers v. Member, Associated P

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Theron Ask and Sandra Ask vs. Names of Respondents Gardner Financial Services, Inc. and Gerald Thomas Zyskowski Case Number: 07-02441 Hearing Site: Minneapolis, Minnesota NATURE OF THE DISPUTE Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Theron Ask and Sandra Ask ("Claimants") were represented by Michael S. McDonald