Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Pat Selman, Claimant v. Royal Alliance Associates, Inc., Respondent Case Number: 07-00725 Hearing Site: Portland, Oregon Nature of the Dispute: Customer v. Member REPRESENTATION OF PARTIES For Claimant: For Respondent: Robert S. Banks, Jr. The Banks Law Office, P.C. Portland, Oregon Gregory M. Curley, Esq. Royal Alliance Associates, Inc. New York

AMENDED AWARD FINRA Dispute Resoiution In the Matter of the Arbitration Between: Names of Claimants Ervin General Partnership, Dennis Smith, M.D. and Julie Benner Smith. Edward and Camille Underwood, Eric and Karen Saul and L. Lee Lancaster, M.D vs. Case Number: 03-06449 Hearing Site: Nashville, Tennessee Names of Respondents J.J.B. Hilliard, W.L. Lyons, Inc. LeLand Shawn Breskow NATURE OF THE DISPUTE Customer vs. Member and Asso

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 06-04315 John Knaub Lonita Knaub Name of the Respondent Hearing Site: Tampa, Florida ProEquities, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For John Knaub and Lonita Knaub, hereinafter collectively referred to as "Claimants": Philip J. Snyderburn, Esq., Snyderburn, Rishoi & Swann, Maitland, Florida.

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Ronald L. Zander, Claimant v. Samuel P. Solomon and Solomon Advisors, Respondents Case Number: 06-03781 Hearina Site: Dallas, Texas Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Richard A. Lewins, Esq. Burg Simpson Eldredge Hersh & Jardine Dallas, Texas For Respondents: Samuel P. Solomon Solomon Advisors

FINRA DISPUTE RESOLUTION AWARD FiNRA DISPUTE RESOLUTION CASE: 07-01511 Ronald E. Tomaszewski and Susan M. Tomaszewskl, ("Claimants") vs. AIG Financial Advisors, Inc., ("Respondent") ATTORNEYS: Claimants appeared pro se, Surprise, AZ. For Respondent in-house counsel Abby Henlg, Esq., Phoenix, AZ. NATURE OF DISPUTE: Customers vs. Member DATE FILED: May 14, 2007 CASE SUMMARY: Claimants alleged that Respondent breached its fiduciary by failing t

Award FiNRA Dispute Resoiution In the Matter of the Arbitration Between: Vincent R. Santalucia (Claimant) vs. Questar Capital Corporation, Legacy Financial Services, and Richard A. Ganim, Jr. (Respondents) Case Number: 05-06621 Hearing Site: Clevalnd, Ohio Nature of the Dispute: Customer vs. Members and Associated Person. REPRESENTATION OF PARTIES Claimant Vincent R. Santalucia hereinafter referred to as "Claimant": Thomas C. Wagner, Esq., Van Deuse

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Richard Ford, II (Claimant) vs. Prudential Equity Group, LLC, Andrew Samalin and Stephen Glynn (Respondents) Case Number: 06-04655 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant Richard Ford, II hereinafter referred to as "Claimant": Joseph Keenan, Esq., McCanliss & Early, LLP, New York, NY.

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Roslyn Maren (Claimant) vs. Moors & Cabot, Inc., and Winslow, Evans & Crocker, Inc. (Respondents) Case Number: 07-00263 Hearina Site: Buffalo, New York Nature of the Dispute: Customer vs. Members. REPRESENTATION OF PARTIES Claimant Roslyn Maren hereinafter referred to as "Claimant": Joanne A. Schultz, Esq., Centrevllle, VA. Respondent Moors & Cabot, Inc., hereinafter referr

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Merrill Lynch Pierce Fenner & Smith, Inc., and Advest, Inc. (Claimants) vs. James D. Weil (Respondent) Case Number: 06-02201 Hearing Site: New Yorit, New York Merrill Lynch Pierce Fenner & Smith, Inc., and Advest, Inc. (Claimants) vs. James Montalto (Respondent) Case Number: 06-02499 Hearina Site: New York, New York Nature of the Dispute (06-02201): Members vs. Associated Perso

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Citigroup Global Markets, Inc. (Claimant) vs. Robert F. Tobin (Respondent) Case Number: 06-03960 Hearing Site: New Yorl< , New York Citigroup Global Markets, Inc. (Claimant) vs. Renee E.C. Isely (Respondent) Case Number: 06-03970 Hearing Site: New York, New York Nature of the Dispute (06-03969): Member vs. Associated Person. Nature of the Dispute (06-03970): Member vs. Associated Pe