Award HNRA Disputa Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-04649 Diane Brewer Name of the Resoondents Hearing Site: Los Angeles, Califomia ING Rnanclal Partners, Inc. f/k/a Washington Square Partners; Timothy N. Tremblay d/bta Tremblay Financial Services; and KeithAWaibel Name of the Counter-Claimant Keitii A. Waibel Name of the Counter-Respondent Diane Brewer Name of the Coun

Award FINRA Dispute Resolution in the Matter of the Arbitration Between: Name of the Claimant: Case Number 08-03232 William Frechtman Name of the Respondent: Hearing Site: Los Angeles, Califomia David Sung Wook Pari^ Nature of the Dispute: Customer vs. Associated Person REPRESENTATION OF PARTIES Claimant William Frechtman hereinafter refened to as "Claimant": appeared pro se. West Hollywood, Califomia Respondent David Sung Wooic Parle herein

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: NameoftheClaimarrt: Case Number: 08-01424 First Midwest Securities, Inc. Name of the Resoondent: Hearing Site: Las Vegas, Nevada Patricia L. Robinson Name of Counter-Ciaimant: Patricia L. Robinson Name of Counter-Respondent: First Midwest Securities, Inc. Nature of the Disputes: Member vs. Associated Person Associated Person vs. Member REPRESENTATION OF PART

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Hyung Sul< Kim (Claimant) vs. CIBC World Maritets Corp. (Respondent) Case Number: 08-00325 Hearing Site: New Yori^. New Yori< Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Hyung Suit Kim hereinafter referred to as "Claimant": David Marei< , Esq.. LIddle & Robinson. L.L.P.. New Yoric. NY. Respondent CIBC World Marlcets Corp.. hereinafter

AWARD FINRA DISPUTE RESOLUTION In the Matter of the Arbitration Between: Citigroup Global Maricets, Inc. (Claimant) vs. Jason Bajaj (Respondent) Case Number 08-01147 SITUS: New Yori^. New Yoric. NATURE OF DISPUTE: Member vs. Associated Person. REPRESENTATION OF PARTIES Citigroup Global Markets, Inc., hereinafter referred to as "Claimant": Aimee B. Florin, Esq., Omcic, Henington & Sutciiffe LLP, New Yoric, NY. Jason Bajaj hereinafter referred to

Award FINRA Dispute Resolution in the Matter of the Arbitration Between: Claimant Case Number 08-02130 Phazar Corp. Resrwndent Hearing Site: Dallas, Texas UBS Financial Services Inc. Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant, Phazar Corp., hereinafter refened to as "Phazar^ or 'Claimant": Robert L. Wright, Esq.. Robert L. Wright. P.C. Fort Worth, Texas Respondent, UBS Financial Sen/ices Inc., hereinafter r

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants: Case Number: 08-00186 Ronald G. Locke and Saundra Perry Locke (a.k.a. Saundra L. Peny) Name of the Respondents: Hearing Site: Phoenix, Arizona Alex Amner Bonjkhov; Peter Daniel Viglione; Vincent P. Samoatora; Scott Allan Shapiro and Gregg Adam Lerman Nature of the Dispute: Customers v. Associated Persons REPRESENTATION OF PARTIES C

Award RNRA Dispute Resolution In the Matter of the Ari^itration Between: Name of the Claimant Case Number: 07-02699 Richard E. Blanco Name of the Respondent Hearing Site: Denver, Colorado Morgan Stanley DW. Inc. n/k/a Morgan Stanley & Company, Incorporated Nature of the Dispute: Associated Person vs. Member REPRESENTATION OF PARTIES Claimant Richard E. Blanco: Otto K. Hilbert, II, Esq., Robinson Waters & O'Dorisio, Denver, Colorado Respo

Award FINRA Dispute Resolution In the Matter of the Art)itration Between: Claimant Case Number. 08-00403 Wells Fargo Investments, LLC Respondent Hearing Site: San Francisco, Califbmla Jon D. Armstrong Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant. Wells Fargo Investments, LLC. hereinafter referred to as "Claimant": D. Daxton White, Esq., Kane & Fischer, Ltd., Chicago. Illinois. Respondent did not ente

STIPULATED AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Banc of America Investment Services, Inc. vs. Name of Respondent William Brennan Case Number: 07-03023 Hearing Site: St. Louis, Missouri Member vs. Associated Person Banc of America Investment Services, Inc. ("BAI" or "Claimanr) was represented by Diane C. Fischer, Esq., Ronald P. Kane, Esq., and D. Daxton White, Esq., Kane & Fischer. Ltd