Stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Woodbury Financial Sen/ices, Inc.. vs. Respondents Mayra J. Angulo and Mark Istas Counter-Claimants Mayra Angulo and Mark Islas vs. Counter-Respondents Woodbury Financial Sen/ices, Inc. Case Number 08-00948 Hearing Site: Phoenix, Arizona Nature of the Dispute: Meml3er vs. Associated Persons Associated Persons v. Member REPRESE

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Citigroup Global Markets, Inc., f/k/a Salomon Smith Barney (Claimant) vs. Matthew R. McCabe (Respondent) Case Number: 08-00087 Hearing Site: Albany. New York Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Citigroup Global Markets, Inc., f/k/a Salomon Smith Barney hereinafter referred to as "Claimant": Ken O'Connor. Esq., Lubiner & Schmid

FINRA DISPUTE RESOLUTION STIF)ULAT£D AWARD FINRA DISPUTE RESOLUTION CASE: 08-01852 Detx}ra A. Yenny-Wittlinger ("Claimanf) vs. Merrill Lynch, Pierce, Fenner & Smith Incorporated ("Respondent") ATTORNEYS: Claimant appeared Pro se. Advance, NC. For Merrill Lynch, Pierce, Fenner & Smith Incorporated appeared Chrlstin M. Choi, Esq., Rubin, Fortunate & Harbison, P.C., Paoli, PA. NATURE OF DISPUTE: Associated Person v. Member DATE FILED: June 9,2008

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-01305 John T. Bianchette (Ciaimant/Counterclaim Respondent) vs. FFP Securities, Inc. (Respondent/Counterclaim Claimant) ATTORNEYS: Claimant/Counterclaim Respondent appeared Pro se, Henderson, KY. For Respondent/Counterclaim Claimant appeared Jessica F. Longobardi, Esq., Sichenzia. Ross, Friedman, Ference. LLP, New York, NY. NATURE OF DISPUTE: Associated Person v. Member DATE FILED

Stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Neuberger Berman, LLC vs. Shari K. Mason, Jeffrey R. Tuci^er, Steven J. Mascitelli, Seamus Monschein, and RBC Capital Markets Corporation Case Number: 08-04122 Hearing Site: New Yori< , New York Nature of the Dispute: Member vs. Associated Persons and Member. REPRESENTATION OF PARTIES Claimant Neuberger Bernian, LLC, hereinafter referred to as "Claimant": Jonathan C.

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: David Lobato (Claimant) vs. Scottrade. Inc. (Respondent) Case Number: 07-03626 Hearing Site: New Yorl< , New York Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant David Lobato hereinafter referred to as "Claimant" appeared pro se. Responderrt Scottrade, inc., hereinafter referred to as "Respondent": Thomas L. Azar, Jr., Esq.. Thompson Coburn LLP, St

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Richard L. Stem as Trustee in Banl^ruptcy for Continental Broker Dealer, Corp. (Claimant) vs. Wexford Clearing Services, LLC, Edward Schlitzer, Patricia Ann Jamison, and George Calleia (Respondents) Case Number: 07-02345 Hearing Site: New York, New York Nature of the Dispute: Member vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant Richard L. Stem as Trustee

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: George E. Cubberly (Claimant) vs. PNC Investments. LLC (Respondent) Case Number: 07-03214 Hearing Site: Newark. New Jersey Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant George E. Cubberly hereinafter referred to as "Claimant" appeared pro se. Respondent PNC Investments, LLC, hereinafter referred to as "Respondent": Brian A. Carlis, Esq., Stari^

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-02730 Joseph Luis Villalba, ("Claimant") vs. Hold Brothers On-Line Investments Services LLC and Robert A. Vallone, ("Respondents") ATTORNEYS: Claimant appeared pro se. North Bergen, NJ. For Respondent Hold Brothers On-Line Investments Services LLC appeared Martin H. Kaplan, Esq. of the firm Gusrae, Kaplan, Bruno & Nusbaum, PLLC, New Yori< , NY. Respondent Robert A. Vallone appeared pro

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-02109 Jennifer Smith, ("Claimant") vs. Jerron Derell Jackson, Stephanie Lynn Swan, John Angelo Bivens and Wells Fargo Investments, LLC, ("Respondents") ATTORNEYS: Claimant appeared pro se, Los Angeles, CA. For Respondents appeared in-house counsel Vanessa M. Hoffman, Esq.. San Francisco, CA. NATURE OF DISPUTE: Customer v. Member and Associated Persons DATE FILED: June 27.2008 C