Award FINRA Dispute Resolution In the Matter of the Arbitration Between: RBC Dain Rauscher Inc., Claimant v. Donald H. Relyea, Respondent Case Number: 07-00713 Hearing Site: Dallas. Texas Nature of the Dispute: l\^ember v. Associated Person REPRESENTATION OF PARTIES For Claimant: Carolyn Guy, Esq. RBC Dain Rauscher, Inc. Minneapolis, Minnesota For Respondent: Donald H. Relyea In Propria Persona Dallas, Texas CASE INFORMATION Stat

Award FINRA Dispute Resolution In the Matter of the Arbitrafion Between: Name of the Claimant Case Number: 07-00873 Gloria Jean Yarborough Names of the Respondents Hearing Site: Raleigh, NC SunTrust Investment Services, Inc., f/k/a CCB Lyie D. Finley Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Gloria Jean Yarborough, hereinafter referred to as "Claimant", appeared pro se. For SunTrust Investmen

Award FiNRA Dispute Resoiution In the Matter of the Arbitrafion Between: Name of the Claimant Case Number: 06-04333 Javier Covas Name of the Respondent Hearing Site: San Juan, Puerto Rico Wallstreet Electronica, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Javier Covas, hereinafter referred to as "Claimant": Randall Place, Esq., Blum & Silver, LLP, Coral Springs, Florida. For Wallstreet Electronica, Inc., he

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number. 06-04414 Henry and Rosalind Drabin Names of the Respondents Hearing Site: Boca Raton, Florida Bear Stearns & Co., Inc. Axiom Capital Management, Inc. Gary J. Gross Mark David Martino Maria Wilson David Victor Siegel Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Henry and Ro

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Michael J. Gabisch vs. Case Number: 06-05258 Hearing Site: Chicago, Illinois Name of Respondent William Blair & Company, LLC NATURE OF THE DISPUTE Associated Person vs. Member REPRESENTATION OF PARTIES Michael J. Gabisch ("Claimant") appeared pro se. William Blair & Company, L.L.C. ("Respondent") was represented by Phillip M. Goldberg, Esq.,

AWARD FINRA Dispute Resoiution In the Matter of the Arbitration Behveen: Name of Claimant / Counter-Respondent Basic Investors, Inc. vs. Case Number: 05-02564 Hearing Site: Indianapolis, Indiana Names of Respondents / Counter-Claimants Arthur Daryll Pryor and Peter Dvorak and Names of Cross-Claimants / Cross-Respondents Arthur Daryll Pryor vs. Peter Dvorak NATURE OF THE DISPUTE Member vs. Associated Person and Customer

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Richard Baker, individually and as custodian of his IRA vs. Case Number: 06-04226 Hearing Site: Indianapolis, Indiana Names of Respondents American General Equity Services Corp. and Daniel S. Bookout NATURE OF THE DISPUTE Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Richard Baker, individually and as custodian of his I

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Michael Gillepsie, individually and as custodian of his IRA vs. Case Number: 06-04227 Hearing Site: Indianapolis, Indiana Names of Respondents American General Equity Services Corp., f/k/a Franklin Financial Services Corporation, and Daniel S. Bookout NATURE OF THE DISPUTE Customer vs. Member and Associated Person REPRESENTATION OF PARTIES

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Morgan Stanley DW, Inc. vs. Name of Respondent John E. Cralne Case Number: 07-00904 Hearing Site: Louisville, Kentucky NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES Morgan Stanley DW, Inc. ("Claimant") was represented by Ronald P. Kane, Esq., Kane & Fischer, LTD, Chicago, Illinois. John E. Craine ("Responde

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Behween: Names of Claimants Patricia S. Beall, Mitchell Borders, Jerry L. Pinion, Paul G. Ponder, and Nancy A. Mueller vs. Case Number: 06-05020 Hearing Site: Louisville, Kentucky Names of Respondents A.G. Edwards & Sons, Inc. and Sherry D. Holley NATURE OF THE DISPUTE Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Patricia S. Beall ("Beall"), Mitch