AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants George Salerno and George and Jeffrey Salerno TLC vs. Case Number: 06-02568 Hearing Site: Dallas, Texas Name of Respondent E*Trade Securities, LLC NATURE OF THE DISPUTE Customers vs. Member REPRESENTATION OF PARTIES George Salemo ("G. Salemo") and George and Jeffrey Salerno TLC ("J. Salemo"), hereinafter collectively referred to as "Claiman

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Nicholas Faranso and Michelle Faranso vs. Names of Respondents Anmar K. Sarafa, an individual, and Steward Capital Management, Inc. f/k/a Zaske Sarafa & Associates, Inc. Case Number: 07-00802 Hearing Site: Detroit, Michigan NATURE OF THE DISPUTE Customers vs. Associated Person and Non-Members REPRESENTATION OF PARTIES Nicholas Faranso

stipulated Award FiNRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 06-02623 Richard D. Riordan Rita M. Riordan Names of the Respondents Hearing Site: Oriando, FL American Municipal Securities Mark K. Donohue Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Richard D. Riordan and Rita M. Riordan, hereinafter collectively referred to as "Cla

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 05-02051 Dennis L. Schumacher & Marilyn J. Schumacher TTEES, U/A DTD 09/24/99 Schumacher Family Revocable Trust Schumacher Charitable Unitrust Names of the Respondents Hearinq Site: Columbia, South Carolina Edward Jones, Inc. Edward Jones Trust Company Nature of the Dispute: Customer vs. Member and Non-Member. REPRESENTATION OF PA

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Gordon C. Huribert and Patricia Huribert vs. Case Number: 07-00052 Hearing Site: Pittsburgh, Pennsylvania Names of Respondents Advest, Inc. and Richard D. Sarachman NATURE OF THE DISPUTE Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Gordon C. Huribert and Patricia Huribert, hereinafter collectively referred to as "Claimants,

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Banc of America Investment Services, Inc. vs. Name of Respondent Andrew T. Bryan Case Number: 06-03137 Hearing Site: St. Louis, Missouri NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES Banc of America Investment Services, Inc. ("Claimant") was represented by Diane C. Fischer, Esq., Ronald P. Kane, Esq., and Grego

STIPULATED AWARD FiNRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Stifel, Nicolaus & Co., Inc. vs. Name of Respondent Lawrence N. Bensman Case Number: 06-04455 Hearing Site: Milwaukee, Wisconsin NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES Stifel, Nicolaus & Co., Inc. ("Claimant") was represented by Forrest M. Smith, Esq., Stifel, Nicolaus & Co., Inc., SL Louis, M

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 06-04367 Edward Bluestein Chariotte Bluestein Chared LLC Name of the Respondent Hearinq Site: Boca Raton, Florida Terra Nova Trading, LLC Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Edward Bluestein, Chariotte Bluestein and Chared LLC, hereinafter referred to as "Claimants", appeared pro se. For Terra

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Eari M. Smith vs. Case Number: 06-04930 Hearing Site: Minneapolis, Minnesota Names of Respondents Greenwich Global, LLC, Adam Matthew Novick, Craig Stuart Balsam, Leonard Frank Monteforte, Timothy James Daly, and John William Engelskirger NATURE OF THE DISPUTE Customer vs. Member and Associated Persons REPRESENTATION OF PARTIES Eari M. Smith

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Barbara Beasley Davis vs. Case Number: 04-08200 Hearing Site: Houston, Texas Names of Respondents Pmdential Equity Group, LLC, Emmett A. Johnson, and Warren Curtis Johnson NATURE OF THE DISPUTE Customer vs. Member and Associated Persons REPRESENTATION OF PARTIES Barbara Beasley Davis ("Claimant") was represented by Perry N. Bass, Esq., Houst