Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Richard Ban- and Corene Ban-, Claimants v. Morgan Stanley DW Inc. and Gary S. Allen, Respondents Case Number: 03-06262 Hearina Site: Los Angeles, California Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES For Claimants: Richard Barr Murrieta, California For Respondents: Braden O. Wilhelm, Esq. Morgan Stanley DW Inc. San Fra

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 07-02249 Kenneth Hughes Name of the Respondent Hearing Site: Tampa, Florida Morgan Stanley DW, Inc, Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES For Kenneth Hughes, hereinafter referred to as "Claimant": Russell Waxman, Esq. and Edward Glenn, Esq., Zamansky & Associates, LLC, New York, New York. For Morgan Stanle

AWARD FINIRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant David G. Peregrin vs. Case Number: 06-05099 Hearing Site: Chicago, Illinois Names of Respondents Milestone Group Management, LLC and William E. Kassar, Jr. NATURE OF THE DISPUTE Customer vs. Terminated Member and Associated Person REPRESENTATION OF PARTIES David G. Peregrin ("Claimant" or "Peregrin") was represented by James A. McGurk, Esq.,

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Maria L. Tsalis vs. Name of Respondent H&R Block Financial Advisors, Inc. Case Number: 06-03220 Hearing Site: Detroit, Michigan NATURE OF THE DISPUTE Associated Person vs. Member REPRESENTATION OF PARTIES Maria L. Tsalis ("Claimant") was represented by Joseph A. Golden, Esq. and Maureen Crane, Esq., Pitt, McGhee, Palmer, Rivers & Golden, PC,

STIPULATED AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Gary Tomcik, Executor of the Estate of George C. Tomcik vs. Name of Respondent Commonwealth Financial Network Case Number: 07-01003 Hearing Site: Pittsburgh, Pennsylvania NATURE OF THE DISPUTE Customer vs. Member REPRESENTATION OF PARTIES Gary Tomcik, Executor of the Estate of George C. Tomcik ("Claimant") was represented by R

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: James A. Manganiello and Wanda Stevens (Claimants) vs. Morgan Stanley DW, Inc., and Domenic A. Kalil (Respondents) Case Number: 03-06469 Hearina Site: Boston, Massachusetts Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES James A. Manganiello ("Manganiello") and Wanda Stevens ("Stevens"), hereinafter collectively referred to

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Joseph T.J. Stewart II (Claimant) v. McKim Capital, Inc., Robert Taggart, James Cahill, and Ian Scott-Dunne (Respondents) Case Number: 06-00458 Hearina Site: New York, New York Nature of the Dispute: Associated Person vs. Member, Associated Persons, and Non- Member. REPRESENTATION OF PARTIES Claimant Joseph T.J. Stewart II ("Claimant"): Hollis Gonerka Bart, Esq., Cha

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-02307 Citigroup Global Markets, Inc. ("Claimant") vs. Latrice Berry ("Respondent") ATTORNEYS: For Citigroup Global Markets, Inc. appeared Tejal N. Shah, Esq., New York, NY Respondent did not submit an answer to the Statement of Claim. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: August 9, 2007 CASE SUMMARY: Claimant alleged that Respondent has retained and refused to pay

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-02188 Minxin Bao ("Claimant") vs. Firstrade Securities, Inc. ("Respondent") ATTORNEYS: Minxin Bao ("Claimant") appeared pro se, Chicago, IL For Firstrade Securities, Inc. ("Respondent") appeared Peter E. Gschweng, Flushing, NY NATURE OF DISPUTE: Customer v. Member DATE FILED: July 25, 2007 CASE SUMMARY: Claimant alleged unauthorized trades of 51,510 shares of IWRS.PK on March 26, 2

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-01501 Daniel Michael Harris ("Claimant") vs. Granite Securities, LLC ("Respondent") ATTORNEYS: For Daniel Michael Harris ("Claimant") appeared Michael Kalmus, Esq., New York, NY For Granite Securities, LLC ("Respondent") appeared Douglas DiDominica, Cutchogue, NY NATURE OF DISPUTE: Associated Person v. Member DATE FILED: May 10, 2007 CASE SUMMARY: Claimant alleged that he was not p