Stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 07-02404 Waddell & Reed, Inc. Name of the Respondent Hearing Site: Washington. P.C. A. Christopher Waddell Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Waddell & Reed, Inc. ("WRI"), hereinafter referred to as "Claimant": Matthew R. Stammel, Esq., Vinson & Eli< ins L.L.P., Dallas, TX. For A

AWARD FINRA Dispute Resolution In the IVIatter of the Arbitration Between: Name of Claimant Mary D. Yearsley vs. Names of Respondents Capital Growth Financial, LLC, KFS-BD, Inc., Wachovia Securities, LLC, VSR Financial Services, Inc., Rebecca L. Engie, and Brian J. Schuster Case Number: 06-05148 Hearing Site: Omaha, Nebrasio NATURE OF THE DISPUTE Customer vs. Terminated Members, Members, and Associated Persons REPRESENTATION

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Estate of Lewis A. Scull, Jr., Deceased vs. Case Number: 07-01864 Hearing Site: Pittsburg, Pennsylvania Names of Respondents BPU Investment Group, Inc., BPU Investment Management, Inc., BPU Investments, Inc., BPU Investment, Inc., Berkowitz, Pierchalski, Inc., BP Investment Partners I LP, BP Investment Partners II LP, BP Investment Partn

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Robert Harth, Trustee for the Trust of Elizabeth Harth (Claimant) v. Wachovia Securities, LLC, Herbert A. Roemmele, Trina Mary Louise Mitsch and Charies Robert Faig (Respondents) Case Number: 07-00957 Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Customer v. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant Trust of Elizabeth Harth,

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 07-02031 Osvaldo Alfonso Names of the Respondents Hearing Site: Boca Raton, Florida Merrill Lynch, Pierce, Fenner & Smith, Inc. ICMA-RC Services, LLC Knickeita A. Vassel-Bullock Kalson & Associates Ernst & Young Corporate Finance (Canada) Nature of the Dispute: Customer vs. Member, Non-Member and Associated Person. REPRESENTATION OF

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-03207 Smith Barney, a division of Citigroup Global Markets, Inc. by and through its assignee DSP, LLC, ("Claimant") vs. Kenneth Lee, ("Respondent") ATTORNEYS: For Claimant appeared Justin Joseph D'Elia, Esq., of the firm Duane Morris LLP, New York, NY. Respondent did not submit a response to the Statement of Claim. NATURE OF DISPUTE: Member vs. Customer DATE FILED: November 9, 2007

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant/Counter-Respondent Louise Elizabeth Ladd vs. Name of Resoondent/Counter-Ciaimant Morgan Stanley DW. inc. Case Number: 07-01835 Hearing Site: Milwaukee, Wisconsin NATURE OF THE DISPUTE Associated Person vs. Member REPRESENTATION OF PARTIES Louise Elizabeth Ladd ("Claimant") was represented by Michael H. Schaaiman, Esq. and Jane E. Appleby, Es

Award FINRA Dispute Resolution in the Matter of the Arbitration Between: Name of the Claimant Case Number: 08-00802 Merrill Lynch, Pierce, Fenner & Smith Incorporated Name of the Respondent Hearing Site: Houston, Texas Bradley C. Bangen Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant, Merrill Lynch, Pierce, Fenner & Smith Incorporated, hereinafter referred to as "Claimant": Jill B. Clarke, Esq., Rubin,

AWARD FINI^ Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Katie Guzzo vs. Case Number: 07-02588 Hearing Site: Pittsburgh, Pennsylvania Name of Respondent Citigroup Global Marl^ets, Inc. NATURE OF THE DISPUTE Associated Person vs. Member REPRESENTATION OF PARTIES Katie Guzzo ("Claimant") was represented by Brian J. Sommer, Esq. and Robert B. Sommer, Esq., Hergenroeder, Rega & Sommer, LLC, Pittsburgh, Pe

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 07-03542 Donna M. Pierce Name of the Respondent fHearinc Site: Bimningham, Alabama Morgan Keegan & Co., inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Donna M. Pierce, hereinafter refen-ed to as "Claimant": Charies M. Thompson, Esq., Charies M. Thompson, P.C., Binningham, Alabama. For Morgan Keegan & Co.,