stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 08-00198 Oppenhelmer&Co., Inc. Name of the Respondent Hearing Site: Boca Raton, Florida Marshall O. Isaacson Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Oppenheimer & Co.. Inc, hereinafter referred to as "Claimant": Cory S. Zadanosky, Esq.. Zadanosky & Associates. P.A., Lake Worth. Florida.

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 08-00661 Kraemer L. Diel Name of the Respondent Hearina Srte: New Orleans, Louisiana Morgan Keegan & Company, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTiES For Kraemer L. Diel, hereinafter referred to as "Claimant": Mark E. Maddox, Esq., Maddox, Hargett & Caruso. P.C. Fishers, Indiana. For Morgan Keegan & Co

Award FiNRA DIsputa Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-03292 Wachovia Securities, LLC Name of the Respondent Hearina Site: Boca Raton. Florida Robert A. Peck Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTiES For Wachovia Securities, LLC, hereinafter refened to as "Claimant": Ronald P. Kane, Esq., Kane & Fischer, Ltd., Chicago, Illinois. Respondent Robert A. P

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant: Case Number 08-01312 Banc of America Investment Services, Inc. Name of the Respondent: Hearina Site: Los Angeles, Califomia Jeremiah L. Smith Nature of the Dispute: Memt)er vs. Associated Person REPRESENTATION OF PARTIES Claimant Banc of America Investment Sen/lces, Inc., hereinafter refened to as "Claimant": D. Daxton White, Esq.. Kane & Fischer, Ltd.

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: William P. Badger (Claimant) vs. BB&T Capital Mari^ets, Scott & Stringfellow. Inc., and BB&T Corporation (Respondents) Case Number: 07-03321 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member and Non-Members. REPRESENTATION OF PARTIES Claimant William P. Barber hereinafter referred to as "Claimant": Fred Van Remortel, Esq., the Law O

Award FINRA Dispute Resoiution In the Matter of the Arisitration Between: Peter Kearns (Claimant) v. NeoNet Securities, Inc. (Respondent) Case Number: 08-00656 Hearina Site: New York, New York Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTiES Claimant Peter Kearns hereinafter referred to as "Claimant": Brian Kennedy, Esq., Law Office of Brian Kennedy, New Yort^, NY. Respondent NeoNet Securities, Inc.. hereinafter referre

Award FiNRA Diapute Resolution In the Matter of the Arbitration Between: UBS Financial Sen/ices Inc. (Claimant) vs. Kevin P. O'Neil (Respondent) Case Number: 07-02997 Hearina Site: Hartf'ord, Connecticut Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant UBS Financial Services Inc., hereinafter referred to as "Claimant": Frank J. Vitolo, Esq., Riker, Danzig, Scherer, Hyland & Perretti. LLP. Morhstown, NJ. Respond

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-02368 Robert Tillman ("Claimant") vs. The Sonterra Group, Inc. ("Respondent") ATTORNEYS: Claimant appeared Pro se, San Antonio. TX. For Respondent appeared Roger Festor, The Delta Company, San Antonio, TX. NATURE OF DISPUTE: Associated Person v. Member DATE FILED: July 8, 2008 CASE SUMMARY; Claimant alleged that he has not received compensation owed for February 1, 2007 through Feb

FINRA DISPUTE RESOLUTION AWARD FINFW^ DISPUTE RESOLUTION CASE: 08-00569 Glendale Securities, Inc. ("Claimant") vs. North American Clearing Inc., Bruce Blatman and Wendy Epps ("Respondents") ATTORNEYS: For Claimant appeared Scott G. Monson, Esq., Sherman Oaks, CA. For Respondents Bruce Blatman and Wendy Epps appeared Richard Goble, Esq., Longwood, FL. NATURE OF DISPUTE: Member vs. Member and Associated Person DATE FILED: February 28, 2008 CAS

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-02440 Neal Kobiitz and Ann Hibner Koblitz, C'Claimants") vs. WM Financial Services a/k/a WAIVIU Investments inc., ("Respondent") ATTORNEYS: Claimants appeared pro so, Seattle, WA. For Respondent appeared Christopfier Wells. Esq.. of tiie firm Lane Powell PC. Seattle, WA. NATURE OF DISPUTE: Customers vs. iWember DATE FILED: July 15. 2008 CASE SUMi^ARY: Claimants alleged that Res