Award FINRA Dispute Resolution In the Matter of the Arbitration Between: RBC Dain Rauscher Inc. (Claimant) vs. Frank Foerster (Respondent) Case Number: 06-05040 Hearinq Site: New York, New York Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant RBC Dain Rauscher Inc., hereinafter referred to as "Claimant": Patrick J. Howley, Esq., RBC Dain Rauscher, Florham Park, NJ. Respondent Frank Foerster hereinafter referred

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Wachovia Securities Financial Network, LLC, Claimant v. Brian W. Knotts, Respondent Case Number: 06-03507 Hearina Site: Seattle, Washington Wachovia Securities Financial Network, LLC, Claimant v. Robert D. Hyer, Respondent Case Number: 06-03508 Hearina Site: Seattle, Washington Nature of the Dispute: Member v. Associated Persons REPRESENTATION OF PARTIES For Claimant: Ryan P. S

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: jsjame of the Claimant Case Number: 06-00654 Steven C. Heller Name of the Respondent Hearing Site: Tampa. Florida Intersecurities, Inc. Nature of the Dispute: Associated Person v. Member. For Steven C. Heller, hereinafter referred to as "Claimant": John R. Kiefner. Esq., Kiefner & Hunt, P.A., St. Petersburg, Florida. For Intersecurities. Inc.. hereinafter referred to as ''R

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-00756 Bear. Steams & Co. Inc. Names of the Respondents Hearinq Site: Atlanta, Georgia Gregory Fisher Oppenheimer & Co., Inc. Nature of the Dispute: Member vs. Associated Person and Member. REPRESENTATION OF PARTIgfi For Bear, Stearns & Co. Inc., hereinafter referred to as "Claimant": Dan S. McDevitt, Esq. and Mark Glasser, Esq., King

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Ana Maria Vasquez, Claimant v. Chase Investment Services Corp. and J.P. Morgan Securities Inc. f/k/a Banc One Securities Corporation, Respondents Case Number: 07-00385 Hearing Site: Phoenix, Arizona Nature of the Dispute: Customer v. Members REPRESENTATION OF PARTIES For Claimant: RicanJo A. Bracamonte, Esq. Law OfTice of Ricardo A. Bracamont Tucson, Arizona For Respond

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Wachovia Securities, LLC, Claimant v. Alan K. Wise, Respondent Case Number: 06-03416 Hearing Site: Los Angeles, California Nature of the Dispute: Member v. Associated Person REPRESENTATION OF PARTIES For Claimant: For Respondent: Timothy N. Will, Esq. Albert & Will, LLP Torrance, Califomia Alan K. Wise In propria persona Carisbad, California CASE INF

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Victoria Landseadal, Claimant v. E.S. Hope Financial and Victor J. Tokach, Respondents Case Number: 05-01456 Hearing Site: San Diego, Califomia Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: David M. Gilmore, Esq. Gilmore, Wood, Vinnard & Magness Fresno, Califomia For Respondents: Victor Tokach E.S. Hope Finan

Award FINRA Dispute Resolution In the Matter ot the Arbitration Between: Quinn R. Owen and Ann D. Owen, JTWROS, Claimants v. Brian E. Sanders, Clayton R. Sontag and Christopher B. Atteo, Respondents Case Number: 07-00567 Hearing Site: Seattle, Washington Nature of the Dispute: Customers v. Associated Persons REPRESENTATION OF PARTIES For Claimants: Quinn R. Owen Oroville, Washington For Respondents: Norman B. Amoff, Esq. Bud< hart, Wexler &

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Wells Fargo Investments, LLC, Claimant v. Elias M. Lopez-Hakimian, Respondent Elias M. Lopez-Hakimian, Counter-Claimant v. Wells Fargo Investments, LLC, Counter- Respondent Elias M. Lopez-Hakimian, Third-Party Claimant v. Wells Fargo Bank, Third-Party Respondent Case Number: 06-03185 Hearing Site: Los Angeles. California Nature of the Disputes: Member v. Associated Person

Stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Robert Dentice (Claimant) v. CIBC World Markets Corp. (Respondent) Case Number: 06-00535 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Robert Dentice ("Dentice") hereinafter referred to as "Claimant": Howard S. Meyers, Esq., Meyers & Heim LLP, New York, NY. Respondent CIBC Worid Markets Corp.