Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Conard Moose Names of the Respondents Linsco/Private Lender Corporation Dennis Wayne Shidler Case Number: 06-03017 Hearina Site: Chariotte, North Carolina Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Conard Moose, hereinafter referred to as "Claimant": John F. Hanzel, Esq., Hanzel & Newkirk,

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-05145 Catherine Henderson Name of the Respondent Hearing Site: Oriando, FL SunTrust Securities Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Catherine Henderson, hereinafter referred to as "Claimant": Philip J. Snyderburn, Esq., Snyderburn, Rishoi & Swann, Maitiand, FL. For SunTrust Securities ("SunTrust")

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant John L. Ramsey vs. Case Number: 06-04052 Hearing Site: Indianapolis, Indiana Name of Respondent Edward D. Jones, LLP NATURE OF THE DISPUTE Customer vs. Member REPRESENTATION OF PARTIES John L. Ramsey ("Claimant") was represented by James P. Graven, Esq., Toledo, Ohio. Edward D. Jones, LLP ("Respondent") was represented by David J. Simmons, Esq.,

AWARD FINI^ Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Hanris Investor Services, Inc. vs. Case Number: 07-01321 Hearing Site: Chicago. Illinois Names of Respondents Steven J. Zimmemnan and Ryan N. Connelly and Name of Counter-Claimant Ryan N. Connelly vs. Name of Counter-Respondent Harris investor Services. Inc. NATURE OF THE DISPUTE Member vs. Associated Persons REPRESENTATION O

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: UBS Financial Services Inc., Claimant v. Thomas G. Hicks, III Respondent Thomas G. Hicks, III. Counter-Claimant v. UBS Financial Services Inc. Counter- Respondent Case Number: 06-03316 Hearina Site: Salt Lake City, Utah Nature of the Dispute: Member v. Associated Person Associated Person v. Member REPRESENTATION OF PARTIES For Claimant/Counter-Respondent: (herinafte

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Citigroup Global Market Holdings, Inc. and Citigroup Global Markets Inc., Claimants v. James E. Bell, Respondent James E. Bell, Counter-Claimant v. Citigroup Global Market Holdings, Inc. and Citigroup Global Markets Inc., Counter-Respondents Case Number: 07-00450 Hearing Site: Houston, Texas Nature of the Dispute: Member and Non-Member v. Associated Person Associated Person v.

Award FINITA Dispute Resolution In the Matter of the Arbitration Between: IVIay Jean Slover, Claimant v. Raymond James Financial Services. Inc., Richard S. McDowell, Bryan D. Farris, Timothy L. Lacey and Detroy L. Womack, Respondents Case Number: 06-04161 Hearina Site: Los Angeles, California Nature of the Dispute: Customer v. Member and Associated Persons REPRESENTATION OF PARTIES For Claimant: Michael A. Dias, Esq. Dies Law Firm Hanford, Calif

Award FINF(A Dispute Resolution In the Matter of the Arbitration Between: Harvey Dick Kagasoff and Kazuko Kagasoff, JTTEN, Claimants v. Wells Fargo Investments, LLC, Wells Fargo Securities, LLC f/k/a Van Kasper & Co., Douglas D. Ivan, and Susan M. Ivan, Respondents Case Number: 05-02132 Hearina Site: Los Anaeles. Califomia Nature of the Dispute: Customers v. Members and Associated Persons REPRESENTATION OF PARTIES For Claimants: Patrick L. Lund, Esq

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Kurt Charies Novey, Claimant v. William Todd Mauney, Katharine A. Moore, and Barron Moore, Inc., Respondents Case Number: 06-04244 Hearina Site: Dallas, Texas Nature of the Dispute: Associated Person v. Member and Associated Persons REPRESENTATION OF PARTIES For Claimant Kurt Charies Novey (hereinafter "Claimant"): For Respondents William Todd Mauney, Katherine A. M

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Christopher W. Allick. Claimant v. Urchin Capital Partners LLC and Peter R. Fader, Respondents Case Number: 06-05331 Hearina Site: San Francisco, California Nature of the Dispute: Associated Person v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: David H.S. Commins Kenneth C. Webster Commins & Webster. P.C. San Francisco. California For Respon