stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Behween: Thrivent Investment Management Inc., Claimant v. Gregory J. Nixon and Parrel D. Johnson, Respondents Case Number: 07-00292 Hearing Site: Dallas, Texas Nature of the Dispute: Member v Associated Persons REPRESENTATION OF PARTIES For Claimant: James K. Langdon, Esq. Dorsey & Whitney LLP Minneapolis, Minnesota For Respondents: John T. Palter, Esq. Riney Palt

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 05-04046 RBC Dain Rauscher Inc. Name of the Respondent Hearing Site: Memphis, Tennessee James Crosby Taylor, Jr. Nature of the Dispute: Member v. Associated Person. REPRESENTATION OF PARTIES For RBC Dain Rauscher Inc., hereinafter referred to as "Claimant": Donald S. Arbour, Esq., Arbour Law Firm, Minneapolis, Minnesota. For

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-04374 James W. Gutner (consolidated with 06-04446) Names of the Respondents Hearing Site: Tampa, Florida Robert W. Baird & Company, Inc. Andrew Starostecki In the Matter of the Arbitration Between: Name of the Claimant Case Number. 06-04446 Robert W. Baird & Co., Incorporated (consolidated with 06-04374) Name of the Respondent Hearin

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Richard G. Nadler, Richard Nadler SEP IRA, and Richard G. Nadler Roth IRA vs. Names of Respondents Wells Fargo Investments, L.L.C. and Wells Fargo Brokerage Services, L.L.C. Case Number: 06-03915 Hearing Site: Minneapolis, Minnesota NATURE OF THE DISPUTE Customers vs. Members REPRESENTATION OF PARTIES Richard G. Nadler, Richard Nadler

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Stephen P. Clement (Claimant) vs. Jon Louis Newman (Respondent) Case Number: 07-00367 Hearing Site: New York; New York Nature of the Dispute: Customer vs. Associated Person. REPRESENTATION OF PARTIES Claimant Stephen P. Clement hereinafter referred to as "Claimant" appeared pro se. Respondent Jon Louis Newman hereinafter referred to as "Respondent": Andrew W. Bonekemper, Esq.,

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Prime Capital Services, Inc. (Claimant) vs. Raymond John Derobbio (Respondent) vs. David A. Conkling (Third Party Respondent) Case Number: 04-08311 Hearina Site: New York, New York Nature of the Dispute: Initial Claim: Member vs. Associated Person. Third Party claim: Associated Person vs. Associated Person. REPRESENTATION OF PARTIES Claimant Prime Capital Services, Inc., he

STIPULATED AWARD FINRA Dispute Resolution In the Matter of the Arbitration BehA/een: Name of Claimant Anthony D. Ivankovlch, M.D. vs. Case Number: 06-04895 Hearing Site: Chicago, Illinois Name of Respondent CIBC World Markets Corp. NATURE OF THE DISPUTE Customer vs. Member REPRESENTATION OF PARTIES Anthony D. Ivankovlch, M.D. ("Claimant") was represented by Philip M. Aidikoff, Esq., Robert A. Uhl, Esq., and Ryan K. Bakhtiari, Esq., A

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Moloney Securities Co., Inc. vs. Names of Respondents William Ramey Mead, Jr. and Jacqueline M. Mead Case Number: 06-04292 Hearing Site: St. Louis, Missouri NATURE OF THE DISPUTE Member vs. Associated Persons REPRESENTATION OF PARTIES Moloney Securities Co., Inc. ("Claimant") was represented by Thomas L. Azar, Jr., Esq., Thompson Coburn,

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: IVIichael Airhart and Amy Airhart, Claimants v. The Avantus Group, Inc. f/k/a First Avantus Securities, Inc. n/k/a Riverstone Wealth Management, Inc. and Jake Caniker, Respondents Case Number: 07-00466 Hearina Site: Houston, Texas Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES For Claimants: Steven D. Toskes, Esq. Klayman & Toskes

Second Amended Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 04-08420 Charles L. Cooper and Mary R. Cooper Names of the Respondents Hearing Site: Tampa, Florida Donald W. Reinhard Paragon Financial Group, Inc. William Lee Bear Stearns Securities, Corp. Nature of the Dispute: Customer v. Member and Associated Person. REPRESENTATION OF PARTIES For Charles L. Cooper ("C. Coo