stipulated Award FINRA Dispute Resolution In the Matter of tlie Arbitration Between: Name of the Claimant Case Number: 07-03040 Banc of America Investment Services, Inc. Name of the Respondent Hearing Site: Boca Raton, FL Steven J. Owens Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Banc of America Investment Services, Inc. ("BAI"), hereinafter referred to as "Claimant": D. Daxton White, Esq., Kane & Fischer,

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 07-01487 Banc of America Investment Services, Inc. Name of the Respondent Hearing Site: Los Angeles, California Arthur Castro In the Matter of the Arbitration Between: Name of the Counter-Claimant Arthur Castro Name of the Counter-Respondent Banc of America Investment Services Nature of the Dispute: Member v. Associated Person N

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Michael D. Ice (Claimant) vs. Dresdner Kleinwort Wasserstein Securities, LLC (Respondent) Case Number: 07-03299 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Michael D. Ice hereinafter referred to as "Claimant": William J. Foster, IV, Esq., McMillan, Constabile, Maker & Perone, LLP, Larchmont, NY. Re

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Ciaimant/Counter-Respondent David Savoy vs. Name of Respondent/Counter-Claimant Brewer Financial Services, LLC Case Number: 07-01731 i-learing Site: Milwaukee, Wisconsin Name of Cross Claimant (Third-Party ClaimantVCross Respondent (Counter-Respondent) Brewer Financial Services, LLC vs. Name of Cross Respondent (Third-Party RespondentVCross Claimant (Cou

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Clyde Bridgeman vs. Case Number: 06-03584 Hearing Site: Chicago, Illinois Names of Respondents Joseph Gunnar & Co., LLC and Michael D. Camp NATURE OF THE DISPUTE Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Clyde Bridgeman ("Claimant") was represented by Alan F. Block, Esq. and Jessica A. Jeffries, Esq., Block & Landsm

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Ira Mike Patton and Gayle Patton vs. Name of Respondent Wachovia Securities, LLC, f/k/a First Union Securities Case Number: 07-01729 Hearing Site: Louisville, Kentucky NATURE OF THE DISPUTE Customers vs. Member REPRESENTATION OF PARTIES Ira Mike Patton and Gayle Patton ("Claimants") were represented by Jeff S. Daniel, Esq., Law Offices

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-02329 Dave Schutz, ("Claimant") vs. A.G. Edwards & Sons, Inc. and Mark Gundy, ("Respondents") ATTORNEYS: For Claimant appeared Steven M. Green, Esq., San Diego, CA. For Respondents appeared in-house counsel James C. Browning, Jr., Esq., St. Louis, MO. NATURE OF DISPUTE: Customer v. Member and Associated Person DATE FILED: August 10, 2007 CASE SUMMARY: Claimant alleged that Resp

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Azar IVI. Hamid (Claimant) vs. Vision (Respondent) Case Number: 08-00519 Hearina Site: New York. New York Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Azar M. Hamid hereinafter referred to as "Claimant": Mitchell Markowitz, Stock Market Recovery Consultants, Inc., Brooklyn, NY. Respondent Vision hereinafter referred to as "Respondent": Kenneth

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: The Smith Barney Division of Citigroup Global Markets, Inc. (formeriy known as Salomon Smith Barney, Inc.) (Claimant) vs. Michael Fisher and UBS Financial Services, Inc. (Respondents) Case Number: 07-02816 Hearina Site: New York, New York Nature of the Dispute: Member vs. Associated Person and Member. REPRESENTATION OF PARTIES Claimant The Smith Barney Division of Ci

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimants: Case Number: 07-00446 Rock Mirich Brent Cowin Respondents: Hearing Site: Las Vegas, Nevada Lisa Dry, Bank of America, Banc of America Investment Sen/ices, Inc. Julie G. Castle, Mary P. With, William K. Tanem, David M. Winchell, Jeffrey A. Graves, Matthew J. Howard, Pat Jagielski, and Keith A. Schmidt Counter-Claimant: Banc of America Investment Servic