Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-00028 Richard D. Almeroth Names of the Respondents Hearing Site: Charlotte, North Carolina Sterling Foster & Company, Inc. Bear Stearns Securities Corp. Jasen Michael Devlin Clayton Robert Sontag Frank Joseph Monroig Nature of the Dispute: Customer vs. Members and Associated Persons. REPRESENTATION OF PARTIES Richard D. Almer

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Katherine Mary Reeve, Claimant v. Advanced Equities, Inc., Respondent Case Number: 06-04606 Hearing Site: San Francisco, California Nature of the Dispute: Associated Person vs. Member REPRESENTATION OF PARTIES For Claimant: Niall P. McCarthy, Esq. Cotchett, Pitre & McCarthy Buriingame, California For Respondent: Edward T. Anderson, Esq. Advanced Equities, Inc. Chica

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Jan Green, Claimant v. R. Nickles & Company and Richard H. Nickles, II, Respondents Case Number: 03-00505 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Non-Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Jan Green In Propria Persona Reseda, California For Respondents: Gayle L. Wilder, Esq. Berkes Crane Robinson & Seal

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Charmaine M. Sherrill and Nathan F. Sherrill, Claimants v. Merrill Lynch, Pierce, Fenner & Smith Incorporated, Kenneth H. Albers, and Don Lee Snowder, Respondents Case Number: 06-04981 Hearing Site: Houston, Texas Nature of the Dispute: Customers v. Member and Associated Persons REPRESENTATION OF PARTIES For Claimants: For Respondents: Robert L. Rolnick, Esq. DeGras

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 07-02092 Gary A. Fitzer Names of the Respondents Hearing Site: Chariotte, North Carolina Burch & Company, Inc. ARI Financial Services, Inc. A. Randal Burch W. Brian Candler Joseph Warren Corpal Timothy E. Snodgrass Richard D. Gee Lauralea D. Ermel Michaeljohn Kudlik James H. Goode, Jr. Nature of the Dispute: Associat

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Connie S. Roth and Bonnie L. Roth vs. Case Number: 07-00497 Hearing Site: Chicago, Illinois Names of Respondents American Family Securities, LLC, Daniel M. Coyne, Deborah R. Dudek, Tamera B. Montagna, and Richard M. Steffen NATURE OF THE DISPUTE Associated Persons vs. Member and Associated Persons REPRESENTATION OF PARTIES Connie S

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-02260 Anna L. Young Roth IRA, Frederick E. Young Roth IIRA, and Frederick E. Young and Anna L. Young Joint Tenants (Claimants) vs. TD Ameritrade, Inc. (Respondent) ATTORNEYS: For Anna L. Young Roth IfRA, Frederick E. Young Roth IRA, and Frederick E. Young and Anna L. Young Joint Tenants ("Claimants") appeared Benjamin B. Siegel, Esq., Columbus, OH For TD Ameritrade, Inc. ("Respondent")

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-02045 Jane Moyle, ("Claimant") vs. WM Financial Services, Inc., ("Respondent") ATTORNEYS: Claimant appeared pro se, Escondido, CA. For Respondent appeared Susan L. Formaker, Esq., Chatsworth, CA. NATURE OF DISPUTE: Customer vs. Member DATE FILED: July 8, 2007 CASE SUMMARY: Claimant alleged failure to supervise, misrepresentation, negligence, breach of fiduciary duty, omission of fa

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Casimir Capital L.P. (Claimant) v. Anthony M. Miller (Respondent) Case Number: 05-01525 Hearing Site: New York, New York Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Casimir Capital L.P., hereinafter referred to as "Claimant": Lauren Tanen, Esq., Greenberg Traurig, LLP, New York, NY. Respondent Anthony M. Miller hereinafter referred to

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Morgan Keegan & Company, Inc., Claimant v. William Eariy VanCleve, Respondent Case Number: 07-00687 Hearing Site: Dallas, Texas Nature of the Dispute: Member v. Associated Person REPRESENTATION OF PARTIES For Claimant: Shea O'Brien Hlcl^s, Esq. Morgan Keegan & Company, Inc. Memphis, Tennessee For Respondent: No appearance CASE INFORMATION Statement of Claim filed: M