AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant UBS Financial Services inc. vs. Case Number: 07-02149 Hearing Site: Pittsburgh. Pennsylvania Name of Rescwndent Carl J. Anderson. Member vs. Associated Person UBS Financial Services Inc. ("Claimanr) was represented by Anthony J. Borrelli, Esq.. Riker, Danzig.Scherer, Hyland & Pen'etti LLP. Monristown. New Jersey. Claimant was represented by Lauren H

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-01545 Dawson James Securities, Inc., ("Claimant") vs. Chanchal Mehta, ("Respondent") ATTORNEYS: For Claimant appeared in-house counsel, Monique MacLaren, Esq., Boca Raton, FL Respondent appeared pro se, Dania, FL. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: May 14. 2008 CASE SUMMARY: Claimant alleged that Respondent breached a contract by failing to repay monies owed

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-00940 Yuan Sun, ("Claimant") vs. Banc of America Investment Services, Inc., ("Respondent") ATTORNEYS: For Claimant appeared Russell M. Odell, Esq., of the finn Russell M. Odell, Attorney at Law, Bellevue. WA. For Respondent appeared George F. Meierhofer, Esq., of the firm Becker & Poliakoff, LLP., New York, NY. NATURE OF DISPUTE: Customer vs. Member DATE FILED: March 31, 2008 C

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: David Lobato (Claimant) vs. H&R Block Financial Advisers, Inc. (Respondent) Case Number: 07-03628 Hearing Site: New York. New York Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant David Lobato hereinafter referred to as "Claimant" appeared pro se. Respondent H&R Block Financial Advisers, Inc., hereinafter referred to as "Respondent": Edward A. Walt

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-00102 Hong Man Chan, ("Claimant/Counterciaim Respondent") vs. UBS Financial Sen/ices inc., ("Respondent/Counterclaini Claimant") ATTORNEYS: For Claimant/Counterclaim Respondent appeared Wai Mon Chan, New Yoric, NY. For Respondent/Counterclaim Claimant appeared in-house counsel Jon D. Kaplan, Esq., New Yoric, NY. NATURE OF DISPUTE: Customer vs. Member DATE FILED: January 11,2008

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-01171 Ameriprise Financial Services, Inc., ("Claimant") vs. Christopher Gary Weighart, ("Respondent") ATTORNEYS: For Claimant appeared Will Stute. Esq., of the firm Faegre & Benson LLP, Minneapolis, MN. Respondent did not submit an Answer to the Statement of Claim. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: April 17. 2008 CASE SUMMARY: Claimant alleged that Resp

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Ehrenkrantz King Nussbaum, Inc. (Claimant) vs. Kerry P. Raheb, George M. Tamborello, Empire Financial Group Inc., Donald A. WojnowskI, Jr., Mark Miranda, Kelly Pfelfer, Robert Ciaccio (Respondents) vs. Anthony Ottimo, Thomas Glugliano, Michael Hugh Berlin, Edward Short, Thomas O'Neill (Third-Party Respondents) Case Number: 05-05322 Hearing Site: New York, New York Nature of the Dis

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Roger Lee Anderson Case Number 07-02546 Name of Respondents SWS Group inc. SWS Financial Services, Inc. Southwest Securities, Inc. Hearing Site: Dallas, Texas Counter-Claimant Southwest Securities, Inc. Counter-Respondent Roger Lee Anderson Nature of the Dispute: Associated Person v. Membere and Non-Member Member v. Associated Person

Award FINRA Dispute Resolution In the Matter of the Art)ltratlon Between: Claimants Case Number: 07-01990 tiene Dwortc Bemilc Bemlic Exemption Trust Bemjic Marital Trust liene Dworic Bemik 2005 Revocable Trust Paul Dwor1( Joann Dwork Paul & Joann R. Dworic Trust Dated June 6,1989 Joshua J. Dworic Benjamin R.S. Dwortc Matthew W. Dworic Jeremy M. Dworic Respondents Hearina Site: Los Angeles, Califbmia The Shemano Group, Inc

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Paul Varsalona vs. Names of Respondents Valdes & Moreno, Inc. and Lowell Huntley Listrom Case Number: 07-03231 IHearing Site: Kansas City, Missouri NATURE OF THE DISPUTE Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Paul Varsalona ("Claimant") was represented by Bemard L. Balkin. Esq.. Gllliland & Hayes, PA. Overlan