AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Lorraine Mosl^ai, Lorraine Moskal 2002 Tmst, and Lorraine Moskal IRA vs. Names of Respondents IH&R Block Financial Advisors, Inc. and Gregory A. Vanek Case Number: 07-02907 Hearing Site: Cleveland, Ohio NATURE OF THE DISPUTE Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Lorraine Moskal ("Mrs. Moskal"), Lorraine M

Award FiNRA Dispute Resoiution In the Matter of the Arbitration Between: Phyllis Francis (Claimant) vs. Salomon Smith Barney (Respondent) Case Number: 06-04480 Hearing Site: Newark, New Jersey Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Phyllis Francis hereinafter referred to as "Claimant": Kirk George Smith, Esq.. Shepherd. Smith & Edwards, LLP, Houston. TX. Respondent Salomon Smith Barney hereinafter referred to

Award FiNRA Dispute Resoiution In the Matter of the Arbitration Between: Jean Darzl and David Darzi (Claimants) vs. Morgan Stanley Dean Witter, Inc. (Respondent) Case Number: 07-03046 Hearina Site: New Yori< . New York Nature of the Dispute: Customers vs. Member. REPRESENTATION OF PARTIES Claimants Jean Darzi ("J. Darzi") and David Darzi ("D. Darzl"), hereinafter collectively referred to as "Clalmante": Anthony J. Hom, Esq., New York, NY. Respond

Award FINR.^ Dispute Resolution In the Matter of the Arbitration Between: Marvin S. Becker, MD, PC (Claimant) vs. Signator Investors, Inc. and Michael A. Napolltano (Respondents) Case Number: 08-00483 Hearing Site: New Yori< , New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Marvin S. Becker, MD, PC hereinafter referred to as "Claimant": Ira S. Kaplan, Esq.. Old Bethpage, NY. Respondent

Award FINRA Dispute Resoiution In the Matter of the Arbitration Between: Andrew Garrett. Inc. (Claimant) vs. Bishop Rosen & Co., Inc., Alan Underberg, Robert Rosen, Ernest Silano and Vincent FIcci (Respondents) Case Number: 06-04308 Hearina Site: New York, New York Nature of the Dispute: Member vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant Andrew Garrett, Inc., hereinafter referred to as "Claimant": Barry M. Bordetsky, Esq.,

Award FINRA Dispute Resolution In the Matter of the Artaitration BebA/een: Name of the Claimant Case Number: 07-03103 Banc of America Investment Services, Inc. Name of the Respondent Hearing Site: Oriando, FL Charies Ray Hill Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Banc of America Investment Services, Inc. ("BAl"). hereinafter referred to as "Claimant": Gregory B. Simon, Esq., Kane & Fischer, Lto.. Chic

Award FINRA DIapute Resolution In the Matter of the Artsltratlon Between: Name of the Claimant Lany Greg Fullmer Case Number 06-04971 Name of the Respondent Hearing Site: Los Angeles. California Goldman Sachs & Company Nature of the Dispute: Associated Person vs. Member REPRESENTATION OF PARTIES Claimant, Larry Greg Fullmer: Rogge Dunne, Esq.. Clouse Dunn Khoshbin, LLP, Dallas, Texas Respondent, Goldman Sachs & Company, Robin D. Fessel, Esq.

Award FINRA Dispute Resolution In the Matter of the AriDltratlon Between: Name of the Claimant Case Number: 07-02763 Thomas A. Payant Names of the Respondents Hearina Site: Tampa, Florida Raymond James Financial Services, Inc. Richard G. Averltt. Ill Nature of the Dispute: Associated Person vs. Member and Associated Person. For Thomas A. Payant, hereinafter referred to as "Claimant": Scott Silver, Esq., Blum 8i Silver, LLP, Coral Springs, Florid

Award FINRA Dispute Resolution In the Matter of the Ari3itration Between: Gwen Snorteland (Claimant) vs. Mizuho Securities USA, Inc. (Respondent) Case Number: 08-01376 Hearina Site: New York. New York Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Gwen Snorteland hereinafter referred to as "Claimant": Howard I. Elman, Esq., Matalon & Shweky P.C, New Yori< , NY. Respondent Mizuho Securities USA, Inc., hereinaft

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: James Buglisi (Claimant) vs. Lewis J. Franklin (Respondent) Case Number: 07-01435 Hearina Site: New Yorl< , New Yori< Nature of the Dispute: Associated Person vs. Associated Person. REPRESENTATION OF PARTIES Claimant James Buglisi hereinafter referred to as "Claimant": Raji Kocchar, Esq., McConnick & O'Brien, LLP, New York, New York. Respondent Lewis J. Franklin did not enter an