Award FINRA Dispute Resolution In the Matter of the Arbitration Between: John Wai, individually and as Custodian of Kassandra Wai, a Minor, Claimants v. Morgan Stanley DW Inc. and Jeffrey Rodvien, Respondents Case Number: 04-03297 Hearina Site: San Francisco, California Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES For Claimants: Albert L. Boasberg, Esq. Attorney at Law, San Francisco, California

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Kenneth Jeffrey Menvin, Claimant v. Dennis Lee Breitenstein and Linda Breitenstein Respondents Case Number: 06-03042 Hearing Site: Seattle, Washington Nature of the Dispute: Associated Person v. Associated Person and Non-member REPRESENTATION OF PARTIES For Claimant: Kenneth Jeffrey Merwin ProSe St Helens, Oregon For Respondent Dennis Lee Breitenstein: Dennis Lee Breite

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Richard Case, Claimant v. Wachovia Securities, LLC and Terry Chase, Respondents Case Number: 06-05370 Hearina Site: Los Angeles, California Nature of the Dispute: Associated Person v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: William Lindsley, Esq. Law Offices of William R. Lindsley Toledo, Ohio Jack Smart, Esq. Vogt & Resnick Newport Beac

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In tiie Matter of tiie Aibitration Between Name of ClaimantfO Anthony J. and Christine L. Canon 94-04219 NameofResDondentrs) Fidelity Investments Edward C. Johnson, m Leo A. Raneri FMR Corporation CASE SUMMARY In a claim filed with the National Association of SecuritiBS Dealers, Inc. on October 11,1994, Claimants Anthony J. and Christine L. Canon, who appeared pro se, aUeg

Award FINRA Dispute Resolution in the Matter of the Arbitration Between: Sondra Glassman Roseman and Solomon Roseman (Claimants) vs. Daniel Butler and Raymond James Financial Services, Inc. (Respondents) Case Number: 06-03638 Hearing Site: Newark, New Jersey Nature of the Dispute: Customers vs. Associated Person and Member. REPRESENTATION OF PARTIES Claimants Sondra Glassman Roseman ("8. G. Roseman") and Solomon Roseman ("S. Roseman") hereinafter co

Award FINRA Dispute Resolution in the Matter of the Arbitration Between: William Joseph Spina (Claimant) vs. Jerome Spina and Teton Partners LLC (Respondents) Case Number: 06-01929 Hearing Site: Boston, Massachusetts Nature of the Dispute: Associated Person vs. Associated Person and Non-Member. REPRESENTATION OF PARTIES Claimant William Joseph Spina hereinafter referred to as "Claimant" appeared pro se. Respondents Jerome Spina ("J. Spina") and Teto

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Thomas Hulick, Claimant v. Citigroup Global Markets, Inc., Respondent Case Number. 07-01031 Hearing Site: Los Angeles, California Nature of the Dispute: Associated Person v. Member REPRESENTATION OF PARTIES For Claimant: Paul Kroeger, Esq. Jeffrey K. Riffer, Esq. Jeffer, Mangels, Butier & Marmaro Los Angeles, California For Respondent: Marcie S. Mintz, Esq. Citi

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 06-02094 Sidney and Sandra Levy Names of the Respondents Hearing Site: Boca Raton, Florida Wachovia Securities, LLC CNL Hospitality Robert DeForest Nature of the Dispute: Customer vs. Member, Non-Member and Associated Person. REPRESENTATION OF PARTIES For Sidney and Sandra Levy, hereinafter collectively referred to as "Claimants": Ron

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Harry A. Gibson, personally, on behalf of the Han7 A. Gibson IRA, and as Trustee of the Harry and Ellen Gibson Family Trust; and Ellen Gibson, personally and as Trustee of the Harry and Ellen Gibson Family Trust, Claimants v. Oregon Pacific Financial Advisors, Inc., AIG Financial Advisors, Inc., and Thomas Benson Gau, Respondents Case Number: 06-02898 Hearina Site: Los A

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Howe Electric, inc., as Trustee of the Howe Electric, Inc. Profit Sharing Plan, Claimant V. The Seidier Companies, Inc., Respondent Case Number: 06-04533 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member REPRESENTATION OF PARTIES For Claimant: Scott R. Shewan, Esq. Born, Rape & Shewan, L.L.P. Clovis, California For Respondent: Peter Brown D