AWARD FINRA Dispute Resolution in the Matter of the Arbitration Between: Name of Claimant Raul Dennis Salmon vs. Names of Respondents O.N. Equity Sales Company, Matthew Keith Nelson, and Ohio National Life Assurance Corp. Case Number: 06-04859 Hearing Site: Kansas City, Missouri NATURE OF THE DISPUTE Customer vs. Member, Associated Person, and Non-Member REPRESENTATION OF PARTIES Raul Dennis Salmon ("Claimant") appeared pro s

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Ann Claire Stephens Koch vs. Case Number. 04-07807 Hearing Site: St. Louis, Missouri Names of Respondents A. G. Edwards & Sons, Inc., Bruce A. Bamhart, Andy Franldin Stoe. and Gregory Robert Howell NATWEQFTHEPI8PUTE Customer vs. Member and Associated Persons REPRESENTATIQM OF PARTIES Ann Claire Stephens Koch ("Claimanr) was rep

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Barbara Jo Kesterson vs. Name of Respondent H&R Block Financial Advisors, Inc. Case Number: 06-01350 Hearing Site: Kansas City, Missouri NATURE OF THE DISPUTE Associated Person vs. Member REPRESENTATION OF PARTIES Barbara Jo Kesterson ("Claimant") was represented by John L. Hampton, Esq. and James Heiman, Esq., Gilliland & Hayes, P.A., Lawre

stipulated Award FINRA Dispute Resolution In the Matter of the Arisitration Between: Wachovia Securities. LLC, Claimant v. Michael F. Jacobs. Respondent Case Number: 06-02806 Hearing Site: Denver, Colorado Nature of the Dispute: Member v. Associated Person REPRESENTATION OF PARTIES For Claimant: Renan I. Sugarman, Esq. Renan I. Sugarman. P.C. Chicago, Illinois For Respondent: Michael F. Jacobs In Pro Se Longmont, Colorado CASE INFORM

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Darrell W. Williams and Diana M. Williams, Claimants v. Ameriprise Financial Services, Inc., IDS Life Insurance Company, and Stephen G. Hamilton, Respondents Case Number: 06-02913 Hearing Site: Houston, Texas Nature of the Dispute: Customers v. Members and Associated Person REPRESENTATION OF PARTIES For Claimants: Mark T. Womack, Esq. The Womack Law Firm Houston, Texas

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Li Li, Claimant v. White Pacific Securities, Inc. and Alex S. Shaw, Respondents Case Number: 05-00937 Hearing Site: San Francisco, California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Li LI Union City, California For Respondents: Robert T. Sullwold, Esq. Sullwold & Hughes San Francisco, California CASE IN

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Rita Dei Favero and Case Number: 06-02685 Hearing Site: Chicago, Illinois Name of Respondent Re-Direct Securities Corporation NATURE OF DISPUTE Customer v. Terminated Member Firm REPRESENTATION OF PARTIES Rita Del Favero ("Claimant") was represented by Howard Prossnitz, Esq.. Law Offices of Birndorf & Birndorf, Chicago, Illinois. Re-Direct Sec

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Banc of America investment Services, Inc., (Claimant) vs. Michael Mercadante (Respondent) Case Number: 06-04125 Hearing Site: Albany. New York. Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Banc of America Investment Services, Inc., hereinafter referred to as "Claimant": Diane C. Fisher, Esq., Kane & Fisher, Ltd., Chicago, IL Respon

Stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Charles Goldschmidt, David Price, Ledlie Borgerhoff, Terry McSweeney, Ronald Cook, Howard Asher, and Robert Eickholt (Claimants) vs. CIBC World Markets Corp. (Respondent) Case Number: 05-06316 Hearing Site: New York. New York Nature of the Dispute: Customers vs. Member. REPRESENTATION OF PARTIES Claimants Charles Goldschmidt ("Goldschmidt"), David Price ("Price"), Le

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Michael and Laura Hammond, and Sports Etc II, Inc., Profit Sharing Plan (Claimants) vs. David H. Sidwelt, John C. Riley, Morgan Stanley DW, Inc., and Citigroun Global Markets, Inc. (Respondents) Case Number: 07-00582 Hearing Site: Boston, Massachusetts Nature of the Dispute: Customers vs. Associated Persons and Members REPRESENTATION OF PARTIES Claimants Michael Hammond ("M. Ha