Award FINRA Dispute Resolution In the Matter of the Arbitration Between: William and Mary Connolly (Claimants) vs. Victoria Tomaro and TFS Securities, Inc. (Respondents) Case Number: 07-01311 Hearing Site: Hartford. Connecticut Nature of the Dispute: Customers vs. Associated Person and Member. REPRESENTATION OF PARTIES Claimants William and Mary Connolly, hereinafter collectively referred to as "Claimants": Theodore M. Davis, Esq., Brooklyn, NY.

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant RBC Dain Rauscher Inc. vs. Case Number: 05-06247 Hearing Site: Dallas, Texas Names of Respondents Morgan Stanley DW Inc., Dale Franklin Johnson, Jr., John Anthony Pennington, Keith Allen Shahan, Samuel Wylie Sloane, Susan Anderson Stroud, and James Glenn Tallant NATURE OF THE DISPUTE Member vs. Member and Associated Persons REPRE

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Stephen Nadler (Claimant) vs. PNC Investment, LLC, and JJB Hilliard, W.L. Lyons, Inc. (Respondents) Case Number: 06-02135 Hearing Site: Newark. New Jersey Nature of the Dispute: Associated Person vs. Members. REPRESENTATION OF PARTIES Claimant Stephen Nadler hereinafter referred to as "Claimant": Ruthann G. Niosi, Esq., Law Offices of Ruthann G. Niosi, Esq., New York, NY. R

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: William Burke (Claimant) vs. A.G. Edwards & Sons, Inc. (Respondent) Case Number: 06-03130 Hearing Site: Buffalo. New York Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant William Burke hereinafter referred to as "Claimant": Donald G. McGrath, Esq., Donald G. McGrath, PLLC, Williamsville, NY. Respondent A.G. Edwards & Sons, Inc., hereinafter referre

Award FINRA Dispute Resolution In the Matter ofthe Arbitration Between: Name of the Claimant Case Number: 06-03491 Kathryn L. Honea Names of the Respondents Hearing Site: Birmingham, Alabama Raymond James Financial Services, Inc. Bernard Ross Michaud Nature ofthe Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Kathryn L. Honea, hereinafter referred to as "Claimant": J. Timothy Francis, Esq., James L. North &

Award FINRA Dispute Resolution In the Matter of the Arbitration Behveen: Carrie Mohundro, Claimant v. Richard A. Ibarra, American Fronteer Financial Corp, Institutional Equity Corporation, Respondents Case Number: 06-03531 Hearino Site: Dallas, Texas Nature of the Dispute: Customer v. Members and Associated Person REPRESENTATION OF PARTIES For Claimant: For Respondent Richard A, Ibarra: For Respondent Institutional Equity Corporation: Fo

Award FINRA Dispute Resolution In the Matter of the Arbitration Behveen: Dean A. & Laura Hocket Coats JTTEN, Claimants v. D.A. Davidson & Co., Smith Hayes Financial Services Corp. and KFS BD Inc., Respondents Case Number: 06-01536 Hearing Site: Phoenix. Arizona Nature of the Dispute: Customers v. Members REPRESENTATION OF PARTIES For Claimant: For Respondent Smith Hayes Financial Services Corp.: Lawrence J. Klayman, Esq. Klayman & To

Award FINRA Dispute Resolution In the Matter ofthe Arbitration BehA/een: Beth Goldman and Robert Goldman, Claimants v. UBS Financial Services Inc., Respondent Case Number: 07-00702 Hearing Site: Phoenix, Arizona Nature ofthe Dispute: Customers v. Member REPRESENTATION OF PARTIES For Claimants: Beth Goldman and Robert Goldman ProSe Paradise Valley, Arizona For Respondent: Kathleen Adams, Esq. UBS Financial Services Inc. Los An

AWARD FINRA Dispute Resolution In the Matter ofthe Arbitration Behveen: Name of Claimant Wachovia Securities, LLC vs. Case Number: 05-04639 Hearing Site: Minneapolis, Minnesota Names of Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc., Katharine Harrison, and David Pennington NATURE OF THE DISPUTE Member v. Member and Associated Persons REPRESENTATION OF PARTIES Wachovia Securities, LLC ("Claimant" or "Wachovia") was represent

Award FINRA Dispute Resolution In the Matter of the Arbitration Behween: Name of the Claimant Case Number: 07-01754 Steriing Financial Investment Group Name of the Respondent Hearing Site: Boca Raton, Florida Euro Pacific Capital, Inc. Nature of the Dispute: Member vs. Member. REPRESENTATION OF PARTIES For Steriing Financial Investment Group, hereinafter referred to as "Claimant": Joshua Bleil, Esq., Ticktin & Rodriguez, Coconut Creek, Florida.