Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Lois Carrier and David Maurice (Claimants) vs. Linsco/Private Ledger Corporation (Respondent) Case Number: 06-05199 Hearing Site: Boston, Massachusetts Nature of the Dispute: Associated Persons vs. Member. REPRESENTATION OF PARTIES Claimants Lois Carrier ("Carrier") and David Maurice ("Maurice"), hereinafter collectively referred to as "Claimants": Jeffrey B. Kelvin, Esq., Fina

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-00684 Ronald J. Hughes, Jr. Name of the Respondent Hearing Site: Atlanta, Georgia Goldman Sachs & Co., Inc. Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES For Ronald J. Hughes, Jr., hereinafter referred to as "Claimant": Rodney J. Heggy, Esq., Federman & Shenvood, Oklahoma City, Oklahoma. For Goldman S

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants The Donald P. McAdams REV/INT Trust U/T/A DTD 1/7/2000; and The Donna McAdams REV/INT Trust U/T/A DTD 1/7/2000 vs. Case Number: 06-02162 Hearing Site: St. Louis, Missouri Name of Respondent Morgan Stanley DW, Inc. NATURE OF THE DISPUTE Customers vs. Member REPRESENTATION OF PARTIES The Donald P. McAdams REV/INT Trust U/T/A DTD 1/7/2000; an

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Robert J. Milano, Next Friend to Beneficiaries Aaron Milano and Angelo Milano, and Key Bank, N.A., Trustee, The Robert J. Milano Irrevocable Life Insurance Trust vs. Case Number: 06-05160 Hearing Site: Detroit, Michigan Names of Respondents Gregory C. Kopan, Butler Capital Advisors, Inc., Pacific Life Insurance Company, and Multi-Financial Sec

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-01474 Norman M. Schlesinger, ("Claimant") vs. Merrill Lynch, Pierce, Fenner & Smith, Inc., ("Respondent") ATTORNEYS: Claimant appeared pro se, Boyton Beach, FL. For Respondent appeared in house counsel David E. Bamberger, Esq., New York, NY. NATURE OF DISPUTE: Customer vs. Member DATE FILED: May 7, 2007 CASE SUMMARY: Claimant alleged that Respondent failed to pay him monies owed

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-01636 Wachovia Securities, LLC ("Claimant/Counterclaim Respondent") vs. Bruce Cooke ("Respondent/Counterclaim Claimant") ATTORNEYS: For Claimant/Counterclaim Respondent Wachovia Securities, LLC appeared Renan I. Sugarman, Esq., Chicago, IL For Respondent/Counterclaim Claimant Bruce Cooke appeared John F. Marsini, Esq., Wallingford, PA NATURE OF DISPUTE: Member v. Associated Person

Award FINRA Dispute Resolution In the IVIatter of the Arbitration Between: Francis J. McDonough (Claimant) vs. W.H. Reaves & Company (Respondent) Case Number: 06-02188 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. I\^ember. REPRESENTATION OF PARTIES Claimant Francis J. IVIcDonough ("Claimant"): Robert S. Whitman, Esq., Seyfarth Shaw LLP, New York, NY, formerly with the firm Orrick, Herrington & Sutcliffe, New York, NY.

Stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Advest, Inc. (Claimant) vs. Wachovia Securities, LLC (Respondent) Case Number: 05-05856 Hearing Site: New York, New York Nature of the Dispute: Member vs. Member. REPRESENTATION OF PARTIES Claimant Advest, Inc., hereinafter referred to as "Claimant": Michael J. Fortunato, Esq., Rubin & Fortunato P.C, Paoli, PA. Previously represented by Tim Cole, Esq., Rubin & Fortun

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-02053 Libucki and Company, LLC, ("Claimant/Counterclaim Respondent") vs. Penn Mont Securities, ("Respondent/Counterclaim Claimant") ATTORNEYS: For Claimant/Counterclaim Respondent appeared Debra G. Speyer, Esq., of the firm Law Offices of Debra G. Speyer, Philadelphia, PA. For Respondent/Counterclaim Claimant appeared in-house counsel Richard B. Feinberg. Paoli, PA/ NATURE OF DISPU

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Begum Ahmed (Claimant) vs. Donaldson Lufkin & Jenerette Securities Corporation, Pershing LLC and Kashfi Sarker, vs. Abed Mansoor, and Aim Resources (Respondents) Case Number: 05-01070 Hearing Site: New York. New York Nature of the Dispute: Customer vs. Members and Associated Person vs. Associated Person and Non-Member. REPRESENTATION OF PARTIES Claimant Begum Ahmed hereinafter