Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Sandra Murray, Individually and as Trustee of the Charles Gordon Murray and Sandra Murray Living Trust dated 9-26-95, Claimants v. Bear, Stearns Securities Corp., A.G. Edwards & Sons, Inc., Andrew J. Fairchild, PMG Securities Corporation and Ronald S. Kabat, Respondents Case Number: 03-02289 Hearing Site: San Francisco, Califomia Nature of the Dispute: Customers vs. Members and Ass

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-05183 Linda Hale Name of the Respondent Hearinq Site: Boca Raton, Florida optionsXpress, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Linda Hale, hereinafter referred to as "Claimant": Neil B. Solomon, Esq., Neil B. Solomon, P.A., Jupiter, Florida. For optionsXpress, Inc., hereinafter referred to as

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 06-04598 SunTrust Banks, Inc. SunTrust Capital Markets, Inc. SunTrust Investment Services, Inc. Name of the Respondent Hearinq Site: Atianta, Georgia Fredrick M. Ross Nature of the Dispute: Non-Member and Member vs. Associated Person. REPRESENTATION OF PARTIES For SunTrust Banks, Inc., SunTrust Capital Markets, Inc., and SunTrust Inve

STIPULATED AWARD FINIRA Dispute Resoiution In the Matter of the Arbitration Between: Name of Claimant/Counterclaim Respondent Peter W. Connelly vs. Case Number: 06-02006 Hearing Site: Kansas City, Missouri Names of Respondents/Counterclaim Claimants Casimir Capital, L.P., Wayde C. Walker, and Nathaniel R. Clay NATURE OF THE DISPUTE Customer vs. Member and Associated Persons REPRESENTATION OF PARTIES Peter W. Connelly ("Claimant") was

Award FINRA Dispute. Resolution In the Matter of the Arbitration Between: Patrick C. and Eleanor C. Welch, as trustees of the Welch Family Trust dated 10/31/91, Claimants v. E-Trade Securities LLC, Respondent Case Number: 07-00056 Hearinq Site: Los Angeles, California Nature of the Dispute: Customers v. Member REPRESENTATION OF PARTIES For Claimants: Chris Rolin, Esq. Patrick C. Welch Westiake Village, California For Respondent: John Ber

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Saralyn Ingram (Claimant) vs. Ameriprise Financial Services, Inc., f/k/a American Express Financial Advisors, Inc., and Kenneth F. DiCairano (Respondents) Case Number: 05-06076 Hearinq Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant Saralyn Ingram hereinafter referred to as "Claimant": Robert Grant, Esq.,

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-00371 Jeffrey Laughren, Claimant vs. Joseph Stevens & Company, Inc., Respondent ATTORNEYS: For Claimant appeared Curtis E. Pew, Esq., of Hofstra University, Hempstead, NY. For Respondent appeared Eric 8. Hutner, Esq., of the firm HutnerKlarish LLP, New York, NY. NATURE OF DISPUTE: Customer vs. Member DATE FILED: Febmary 5, 2007 CASE SUMMARY: Claimant alleged that Respondent made un

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Woodbury Financial Services, Inc. (Claimant) vs. David C. Bellinger (Respondent) Case Number: 06-04487 Hearino Site: Boston, Massachusetts Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Woodbury Financial Services, Inc., hereinafter referred to as "Claimant": Jeffrey D. Hedlund, Esq., Faegre & Benson, LLP, Minneapolis, MN. Respondent Dav

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Vincent Tribo vs. Case Number: 06-02899 Hearing Site: Chicago, Illinois Name of Respondent H&R Block Financial Advisors, Inc. f/k/a Olde Discount Corporation NATURE OF THE DISPUTE Customer vs. Member REPRESENTATION OF PARTIES Vincent TrIbo ("Claimant") was represented by Helen B. Bloch, Esq.. Bellows and Bellows, P.C, Chicago, Illinois.

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-02660 Steven P. Schwartz, M.D. Names of the Respondents Hearing Site: Tampa, Florida Wachovia Securities, LLC Dolores Adelaide Vance Nature of the Dispute: Customer v. Member and Associated Person. REPRESENTATION OF PARTIES For Steven P. Schwartz, hereinafter referred to as "Claimant": James A. Schwartz. Esq., Dunedin, Florida, until