Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 05-06360 Ismael Aviles-Torres Daisy Pastrana-Algarin Names of the Respondents Hearing Site: San Juan, Puerto Rico New World Financial, Inc. (A.K.A. Pacific Continental Securities, Corp. World Financial Group, Inc. & World Financial Capital Markets, Inc.) Jose Mirabel Ernesto Casco Richard Bell Hakim Kriout Nature of th

Stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-04968 Wachovia Securities, LLC Name of the Respondent Hearing Site: Boca Raton, Florida Sergio Negrini Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Wachovia Securities, LLC ("Wachovia"), hereinafter referred to as "Claimant": Diane C. Fischer, Esq., Ronald P. Kane, Esq. and, David H. Smith

STIPULATED AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Dionna L. Barker, Individually and as Trustee of the Dionna L. Barker U/A Trust DTD 10/8/2009, and IRA FBO Dionna Barker vs. Names of Respondents Bosc, Inc. and Paige L. Harris Case Number: 07-02670 Hearing Site: Oklahoma City, Oklahoma NATURE OF THE DISPUTE Customer vs. Member and Associated Person REPRESENTATION OF PARTIES

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: James Kelly (Claimant) vs. UBS Securities LLC (Respondent) Case Number: 07-03439 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant James Kelly hereinafter referred to as "Claimant": Partha P. Chattoraj, Esq., Markowitz & Chattoraj, LLP, New York, NY. Respondent UBS Securities LLC, hereinafter referred to as

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Eric E. Hansen (Claimant) v. Ameriprise Financial Services, Inc. (Respondent) Case Number: 07-02319 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Eric E. Hansen hereinafter referred to as "Claimant": Nicole A. Rizzo, Esq., Bromberg & Sunstein, LLP., Boston, MA. Respondent Ameriprise Financial

Stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Janet MacLean (Claimant) vs. Fidelity Brokerage Services, LLC (Respondent) Case Number: 06-04502 Hearing Site: Boston, Massachusetts Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Janet MacLean hereinafter referred to as "Claimant": Paul M. Glickman, Esq., Glickman Turley, LLP, Boston, MA. Respondent Fidelity Brokerage Service

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: UBS Financial Services, Inc. (Claimant) vs. Christopher Becker (Respondent) Case Number: 05-00529 Hearing Site: Newark, New Jersey Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant UBS Financial Services, Inc., hereinafter referred to as "Claimant": Francis M. Curran, Esq., Davidson & Grannum, LLP, Orangeburg, NY. Respondent Christopher Bec

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Thomas John McCarthy (Claimant) vs. Financial Network Investment Corporation and Karoon Capital Markets, Inc., (Respondents) Case Number: 07-00534 Hearing Site: Newark, New Jersey Nature of the Dispute: Associated Person vs. Member and Non-Member. REPRESENTATION OF PARTIES Claimant Thomas John McCarthy hereinafter referred to as "Claimant": Cindy D. Salvo, Esq., The Salvo Law F

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Richard Haskell and Susan Haskell vs. Case Number: 07-02946 Hearing Site: Chicago, Illinois Name of Respondent Scottrade, Inc. NATURE OF THE DISPUTE Customers vs. Member REPRESENTATION OF PARTIES Richard Haskell and Susan Haskell ("Claimants") were represented by James W. Christian, Esq. and Sean Greenwood, Esq., Christian, Smith & Jewell, LLP

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimants Case Number: 07-00236 Steven G. Holder The Steven Holder Trust The Holder Family LP Name of Respondents Hearing Site: Los Angeles, California Merrill Lynch, Pierce, Fenner & Smith Inc. Nature of the Dispute: Customers vs. Member. REPRESENTATION OF PARTIES Claimants Steven G. Holder ("Holder"), The Steven Holder Trust ("The Trust") and the Holder Fa