Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Woridwide Wealth Management and Jaime Diaz (Claimants) vs. Kenneth Thom (Respondent) Case Number: 08-03205 Hearing Site: New York, New York Nature of the Dispute: Non-Member and Associated Person vs. Associated Person REPRESENTATION OF PARTIES Claimants Woridwide Wealth Management ("Woridwide") and Jaime Diaz ("Diaz"), hereinafter collectively referred to as "Claimants": Jaime D

Award FINRA Dispute Resoiution In the Matter of the Arbitration Between: Oppenheimer & Co., Inc. (Claimant) vs. Jeremy A. Wisniewski (Respondent) Case Number: 08-03083 Hearina Site: New York, New York Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant Oppenheimer & Co.. inc., hereinafter referred to as "Ciaimant": Peter Byer. Esq., Oppenheimer & Co., Inc., New Yori^, NY. Respondent Jeremy A. Wisniewski hereinafter

AWARD FiNRA DISPUTE RESOLUTION In the Matter of the Arbitration Between: Banc of America Investment Services (Claimant) vs. John M. Lee (Respondent) Case Number: 08-03700 SITUS: Newari^. New Jersey. NATURE OF DISPUTE: Member vs. Associated Person. REPRESENTATION OF PARTIES Banc of America Investment Services hereinafter referred to as "Claimant": Kiran V. Somashekara, Esq., Wolff & Samson. PC, West Orange. John M. Lee hereinafter referred to as "Resp

Stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Peter and Karen Ramos (Claimants) v. Paul Thompson and Genworth Financial Securities Corporation (Respondents) Case Number: 08-00086 Hearina Site: New Yorl^, New Yorie Nature of the Dispute: Customers vs. Associated Person and Member REPRESENTATION OF PARTIES Claimants Peter Ramos (P. Ramos") and Karen Ramos ("K. Ramos"), hereinafter collectively referred to as "Claim

stipulated Award FINRA Diapute Resolution In the Matter of the Arbitration Between: Leon Farber (Claimant) vs. Brool< street Securities Corporation, National Financial Services, LLC, Norman Robert Malo, Stanley Clifton Brooks. Scott Stanley Brooks, Julie Brooks Mains, and Barry M. Kornfeld (Respondents) Case Number: 07-03530 Hearing Site: New York. New York Nature of the Dispute: Customer vs. Members and Associated Persons. REPRESENTATION OF PARTIES C

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Robert Granville Knox (Claimant) vs. Zions First National Bank, Zions Direct, Inc., and Zions Bancorporation, Inc. (Respondents) Case Number: 07-03418 Hearina Site: New York, New York Nature of the Dispute: Associated Person vs. Member and Non-Members. REPRESENTATION OF PARTIES Claimant Robert Granville Knox ("Claimant"): Blake Miller, Esq.. Lauren Parry, Esq., and Craig H. Howe

Award FINRA Dispute Reaolution In the Matter of the Arbitration Between: Firet Empire Securities. Inc. (Claimant) vs. Lawrence Miele (Respondent) Case Number: 07-02191 Hearing Site: New Yoric. New Yori< Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Firet Empire Securities, inc., hereinafter referred to as "Claimant": Martin H. Kaplan, Esq.. Gusree, Kaplan Bruno & Nusbaum PLLC, New Yoric, NY. Respondent l-awre

Award RNRA Dteputo Resolution In the Matter of the Art)ltratton Between: NameoftheOairnant Case Number 08-00947 Banc of America investment Services, Inc. Name of the Respondent Hearing Site: Porttand, Oregon Mitchell Reed Johnson Name of the Counter-Ctehnant MItehell Reed Johnson Name of Hie Counter-Respondent Banc of America Investment Services, Inc. Nature of the Diapute: Member vs. Associated Person Associated Person vs. Me

Award FINRA Dispute Resolution in the Mattera of the Ariaitration Between: Name of the Claimant: Weils Fargo Investmente, LLC Name of the Respondent: Bob J. Boyd Case Number 08-00203 Hearing Site: Dallas, Texas Name of Counter-Claimant: Bob J. Boyd Name of Counter-Respondent: Wells Fargo Investmente, LLC Name of Third-Partv Claimant: Bob J. Boyd Name of ThIrd-Partv Respondent: Winford G. Bradley Name of Third-Partv Counter

Award FINRA Dteputo Resolution In the Matter of the Arbitration Between: Claimante Case Number 08-02517 George R. Joyce and Dorothy R. Joyce Marie L. Thompson Toistee tor the Mari( L. Thompson Tmst Rosalin Rogers Respondente Hearino Site: Denver, Colorado Royal Alliance Associates. Inc. United Securities Alliance, inc. Nature of the Dispute: Customers vs. Membere REPRESENTATION OF PARTIES Claimante George R. Joyce and Dorothy R. Joyce