FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-01660 Merrill Lynch, Pierce, Fenner & Smith, Inc., ("Claimant") vs. Sam Aaron and Erika M. Adams, ("Respondents") ATTORNEYS: For Claimant appeared Michael S. Colombo, of the firm StreetWide Asset Recovery Group, Inc., Lyndhurst, NJ. Respondents did not submit an Answer to the Statement of Claim. NATURE OF DISPUTE: Member vs. Customers DATE FILED: May 25, 2007 CASE SUMMARY: Clai

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-01827 Betty Jean Davis IRA (Claimant) vs. TD Ameritrade, Inc. (Respondent) ATTORNEYS: Betty Jean Davis IRA ("Claimant") appeared pro se, Billings, MT For TD Ameritrade, Inc. ("Respondent") appeared in-house counsel Kelly R. Davis, Esq., Bellevue, NE NATURE OF DISPUTE: Customer v. Member DATE FILED: June 15,2007 CASE SUMMARY: Claimant alleged misrepresentation or misleading informat

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-01589 Fiduciary Trust Co NH Gust, IRA Rollover, FBO John P. Lake, ("Claimant") vs. Waddell & Reed, Inc. and Jeff L. Whitaker, ("Respondents") ATTORNEYS: Claimant appeared pro se, Hemet, CA. For Respondents appeared Jill W. Lens, Esq., of the firm Blackwell Sanders Peper Martin, LLP, St. Louis, MO. NATURE OF DISPUTE: Customer v. Member and Associated Person DATE FILED: May 18, 2007

stipulated Award FINfRA Dispute Resolution In the Matter of the Arbitration Between: Fidelity Brokerage Services LLC, Claimant v. Thomas K. Vance, Respondent Case Number: 07-02952 Hearing Site: Los Angeles, California Nature of the Dispute: Member v. Associated Person REPRESENTATION OF PARTIES For Claimant: Brian I. Hays Locke Lord Bissell & Liddell LLP Chicago, Illinois For Respondent: Thomas K. Vance Laguna Niguel, California CASE INFO

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Salvador Marroquin, Sr., Claimant v. Morgan Stanley & Co., Incorporated f/k/a Morgan Stanley DW, Inc. and Isidro Miramontes, Respondents Case Number: 06-04213 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Matthew J. Pero, Esq. Law Offices of Matthew J. Pero Monrovia, California

stipulated Award FiNRA Dispute Resolution In the Matter of the Arbitration Between: Wells Fargo Investments, LLC, Claimant v. Frank C. Parlato, Respondent Case Number: 06-05355 Hearing Site: Los Angeles, California Nature of the Dispute: Member v. Associated Person REPRESENTATION OF PARTIES For Claimant: Diane C. Fischer, Esq. Stuart F. Primack, Esq. Kane & Fischer, Ltd. Chicago, Illinois For Respondent: Frank C. Parlato In Propria Perso

Award FINRA Diepute Resolution In the Matter of the Arbitration Between: Rodney Beck (deceased), Rodney R. Beck Living Trust d 12-05-04, Stacey Beck, and Stacey Beck lliving Trust dtd 12-05-94, Claimants v. Investacorp, Inc., Investacorp Advisory Services, and William C. Artmann, Respondents Case Number: 05-03849 Hgarinfl Sifei PhOgPi?^. Ariggna Nature of the Dispute: Customers v. IVIember, Associated Person and Non-IVIember REPRESENTATION OF PARTIES

stipulated Award FINRA Dispute Resolution In the Matters of the Arbitration Between: Wachovia Securities, LLC, Claimant vs. Paul Clayton, Respondent Paul Clayton, Counter-Claimant v. Wachovia Securities, LLC, Counter-Respondent Case Number: 05-00238 Hearing Site: San Diego, California Nature of the Dispute: Member v. Associated Person Associated Person v. Member REPRESENTATION OF PARTIES For Claimant/Counter-Respondent (hereinafter referred to a

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Ronald D. Goldman, Claimant v. Wachovia Securities, LLC and Terry Chase, Respondents Case Number: 05-06450 Hearing Site: Los Angeles, California Nature of the Dispute: Associated Person v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: William Lindsley, Esq. Law Offices of William R. Lindsley Toledo, Ohio Jack Smart, Esq. Vogt & Resnick New

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Tim Taylor Smith and Phillip John Mottini, Claimants v. Bernard Wayne Bunning, Respondent Bemard Wayne Bunning, Counter-Claimant v. Tim Taylor Smith and Phillip John Mottini, Counter-Respondents Case Number: 05-02206 Hearing Site: San Francisco, California Nature of the Dispute: Associated Persons v. Associated Person Associated Person v. Associated Persons REPRESENTATION O