Award FINRA Dispute Resoiution In the Matter of the Arbitration Between: Elwood Weber and Grace Weber (Claimants) vs. Advest, Inc., Merrill Lynch Pierce Fenner & Smith, Inc., AXA Financial, Inc., Edward Carisen, Sr., Roger Faulring, and Doran Young (Respondents) Case Number: 06-00811 Hearinq Site: Buffalo. New York Nature of the Dispute: Customers vs. Members, Non-Member, and Associated Persons REPRESENTATION OF PARTIES Claimants Elwood Weber ("E. W

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Natn^ of plalmant Stanton H. Vollman. Administrator for the Estate of Sydney G. Smith, Jr. vs. Case Number. 06-03942 Hearing Site: Cincinnati, Oiiio Mamas of Restwndents Brooi(8treet Securities Corp. and Raffi Oghlian NATURE OF THE DISPUTE Customer vs. Member and Associated Person REPRESENTATION QF PARTIES Stanton H. Vollman, Administrator for the Estate of

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-01848 Ronald Baum, ("Claimant") vs. TD Waterhouse DBA TD Ameritrade, Inc., ("Respondent") ATTORNEYS: ~ Claimant appeared pm se. Great Neck, NY. For Respondent appeared In-house counsel Jam's Campanella, Esq!, Boca Raton, FL.. NATURE OF DISPUTE: Associated Person vs. Member DATE FILED: June 19, 2007 CASE SUMMARY: Claimant alleged that Respondent placed incorrect and defamatory i

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Wachovia Securities, LLC (Claimant) vs. Peter Janowsky (Respondent) Case Number: 06-03306 Hearinq Site: New York, New York Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Wachovia Securities, LLC hereinafter referred to as "Claimant": Jonathan E. Levine, Esq., Law Office of Daniel S. Fiore, Arlington, VA. Respondent Peter Janowsky hereina

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-01359 Michael and Helene Sabin, Individual Retirement Account (Claimants) vs. Basic Investors, Inc. (Respondent) ATTORNEYS: For Claimants Michael and Helene Sabin, Individual Retirement Account ("Claimants") appeared M. David Sayid, Esq., New York, NY For Respondent Basic Investors, Inc. ("Respondent") appeared Charles M. O'Rourke, Esq., Woodbury, NY NATURE OF DISPUTE: Customer v.

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-01577 Tom W. White and Jane C. White JT TEN (Claimants) vs. A.G. Edwards & Sons, Inc. (Respondent) ATTORNEYS: Claimants Tom W. White and Jane C. White JT TEN ("Claimants") appeared pro se. New Berlin, Wl. For Respondent A.G. Edwards & Sons, Inc. ("Respondent") appeared in-house counsel James C. Browning, Jr., Esq., St. Louis, MO. NATURE OF DISPUTE: Customer v. Member DATEFILED

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Joe Robert Stringer, Claimant v. JP Morgan Securities Inc., Citigroup Global Markets Inc., and Mellon Securities LLC, Respondents Case Number: 07-01038 Hearinq Site: Dallas, Texas Nature of the Dispute: Customer v. Members REPRESENTATION OF PARTIES For Claimant: For Respondent J.P. Morgan Securities Inc. For Respondent Citigroup Global Markets Inc. For Respondent Me

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Debra M. Reda-Cappos, Claimant v. Wachovia Securities, LLC and Terry L. Chase, Respondents Wachovia Securities, LLC, Counter-Claimant v. Debra M. Reda-Cappos, Counter- Respondent Case Number: 06-00895 Hearina Site: Los Angeles, California Nature of the Dispute: Associated Person v. Member and Associated Person Member v. Associated Person REPRESENTATION OF PARTIES Fo

Stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: William F. Gariand, Claimant v. SDR Capital Management, Inc., Charies Schwab & Co., Inc., Arthur C. Rutzen, Jr., Dale B. Low, Benjamin D. Wilson, Eric T. Salz, and Samuel V, Berger, Respondents Case Number: 03-02127 Hearina Site: San Francisco, Califomia Nature of the Dispute: Customer v. Non-Members, Member and Associated Persons REPRESENTATION OF PARTIES For Claima

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Donna Perimutter, Jona Perimutter, and Perimutter Family Tmst, Claimants v. Roth Capital Partners, LLC, Respondent Case Number: 05-04618 Hearinq Site: Los Angeles, Califomia Nature of the Dispute: Customers v. Member REPRESENTATION OF PARTIES For Claimants: Loren J. Beck, Esq. Marc A. Fenster, Esq. Russ. August & Kabat Los Angeles, California For Respondent: Terry R