AWARD FINRA DISPUTE RESOLUTION CASE: 09-04898 Newbridge Securities Corporation (Claimant) vs. Bret Shofner (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Michael S. Colombo. StreetWide Asset Recovery Group. Inc . Hazlet. NJ. Respondent did not enter an appearance in this matter. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: August 20. 2009 CASE SUMMARY; Claimant asserted the following cause of action: breach of promissory

AWARD FINRA DISPUTE RESOLUTION CASE: 09-05095 Maxim Group LLC (Claimant) vs. George E. Mahfouz (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Maria Melissa T. Astudillo, Esq.. Maxim Group LLC, New York. NY. Respondent appeared pro se, Phoenix. AZ. NATURE OF DISPUTE: Member v. Customer DATE FILED: August 31. 2009 CASE SUMMARY.- Claimant asserted the following cause of action: failure to repay balance in account. The cause of act

AWARD FINRA DISPUTE RESOLUTION CASE: 09-05198 James W. Patrick (Claimant) vs. Charles Schwab & Co.. Inc. (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se, Sausalito, CA. For Respondent appeared Richard A. Karoly, Esq., Charles Schwab & Co., Inc., San Francisco, CA. NATURE OF DISPUTE: Customer v. i^ember DATE FILED: August 28. 2009 CASE SUI^MARY: Claimant asserted the following causes of action: misrepresentations and omissions.

Award FINI^ Dispute Resolution In the Matter of the Arbitration Between: Worid Trade Financial Corporation (Claimant) vs. Wonderland Capital Corp., and Eugene W. Austin (Respondente) Case Number: 09-04795 Hearing Site: New York, New York Nature of the Dispute: Member vs. Customers. REPRESENTATION OF PARTIES Claimant World Financial Corporation hereinafter refenred to as "Claimant": W. Scott Lawler. Esq., Lawler & Associates. PLC. Temecula. CA. Re

Award FiNRA Dispute Resolution In the Matter of the Arbitratton Between: Claimant Case Number 08-03706 Banc of America Investment Sen/lces. Inc. Respondent Hearino Site: Las Vegas, Nevada CtiristopherW. Bunker Natore of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant, Banc of America Investment Sen^ices, Inc., iiereinafter referred to as "Claimanf: Gregory Simon, Esq., Kane & Fischer, Ltd., Chicago, Illinois.

Aiward FINRA Dtepule Reaohillon In ttie l\Mter of the Arfottraflon Between: Name of the Ctelmant CfflW NMfP^ 0M314S IgorZey Name of ttie Reapondent Hearing Site: Los Anoetea. CaHfomte AXAAdvteore,LLC Nature of ttie DIepute: Associated Person vs. Member REPRESENTATION OF PARTIES Ctelmant, Igor Zey, hereinafter referred to as "ClaimantT: James Hubbard, Esq. and Sheny Shore, Esq., Liddte & Robinson, L.L.P., New Yort(. New Yoric Respondent, M

Award nNRA Dtepule Resolullon In the Matter of the Arbitration Between: Nameofthaaaimant C^fi^ NOTtWf; 07-02333 Aaron T.Leone Name off the Respondent Hearing Site: San Frandaco, Callfbmte WM Financial Services, Inc. Nature of the Diaputo: Assodated Person vs. Member REPRESENTATION OF PARTIES Ctelmant, Aaron T. Leone hereinafter referred to as "Cteimanf: Jasper I. Rasmussen, Esq., Patton, Wolan, Carilse, LLP, Oakland, CaHfomte Reapondent,

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimants Case Number 08-04166 John J. Hepier Viola E. Hepier Hepier Joint Tenant Survivorship Respondents Hearino Site: Phoenix, Arizona Brewer Financial Services, LLC Gary Michael Capra John Cronin Astori La Salle St. Securities. L.L.C. Nature of the Dispute: Customers vs. Members and Associated Persons REPRESENTATION OF PARTIES Claimants, John J. Hepie

Stipulated Award FINFIA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant: Tyler J. Smith Name of the Respondent: Fidelity Brokerage Sen/ices, LLC Case Number 08-04292 Hearing Site: Salt Lake City, Uteh Nature of the Dispute: Associated Person v. Member REPRESENTATION OF PARTIES Claimant Tyler J. Smith hereinafter referred to as "Claimant": Bradley Wm. Bowen, Esq., Strong & Hanni Law Fimi, Salt Lake City, Uteh.

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Multi-Financial Securities Corporation Resoondente Banc of America Securities LLC Angel Chi Counter-Claimant Banc of America Securities LLC Counter- Respondent Multi-Financial Securities Corporation Case Number: 08-00852 Hearino Site: Denver, Colorado Nature of the Dispute: Member vs. Member and Associated Person Member vs. Member REPRESENTATION