stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants Case Number: 07-00258 Brian G. Herr, Individually And On Behalf of the Brian G. Herr Rollover IRA; Sheryl L. Herr, Individually And On Behalf of the Sheryl L. Herr Rollover IRA Name of the Respondents Hearing Site: Reno, Nevada Associated Securities Corp. Patricia Meidell Laif Meidell Nature of the Dispute: Customers v. Member and As

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number. 07-01596 Banc of America Investment Services, Inc. Name of the Respondent Hearing Site: Dallas, Texas Brent Lemons Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant Banc of America Investment Services, Inc., hereinafter referred to as "Claimant": Diane C. Fischer, Esq., Ronald Kane, Esq., and David Smith

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants: Case Number: 02-00787 Ronald D. Hershey and Kara L. Hershey Names of the Respondents: Hearing Site: Los Angeles, California Merrill Lynch, Pierce, Fenner & Smith Incorporated and Phil Hammitt Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES Claimants, Ronald D. Hershey and Kara L. Hershey, hereinafter collectivel

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 07-01110 Joseph Martelli Respondents Hearing Site: Los Anceles. Califomia The Investment Center, Inc. Granite Associates, Inc. En/in Philips Ralph J. Devito Douglas A. Wright Wayne F. Ford Nicholas A. Natale Counter-Claimant Ervin Phillips Counter-Respondent Joseph Martelli Cross-Claimants The Investment Center Ralph

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 07-03156 Wachovia Securities, LLC Name of the Respondent Hearinc Site: Baltimore, Maryland Joel Small Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES For Wachovia Securities, LLC, hereinafter referred to as "Claimant": Renan I. Sugarman, Esq., Renan Sugarman, P.C, Chicago, Illinois. Joel Small, hereinafter

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 07-01882 William G. Forsyth, III Robert Brett Forsyth Names of the Respondents Hearing Site: Birmingham, Alabama Morgan Keegan & Company, Inc. William G. Forsyth, Jr. Regions Financial Corporation Nature of the Dispute: Customer vs. Member, Customer and Non-Member. REPRESENTATION OF PARTIES For William G. Forsyth, III ("W. Forsyth

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 07-01953 Lisa R. Hart Name of the Respondent Hearing Site: Memphis, Tennessee Signator Investors, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Lisa R. Hart, hereinafter referred to as "Claimant": Richard B. Fosher, Esq. and Bruce D. Oakes, Esq., Simmons Cooper, LLC, East Alton, Illinois. For Signator In

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-03197 Smith Barney, a division of Citigroup Global Markets, Inc. by and through its assignee DSP, LLC, ("Claimant") vs. Alan Haber, ("Respondent") ATTORNEYS: For Claimant appeared Justin Joseph D'Elia, Esq., of the firm Duane Monris LLP, New York, NY. Respondent did not submit an Answer to the Statement of Claim. NATURE OF DISPUTE: Member vs. Customer DATE FILED: November 9, 2007

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-03339 Vision Securities Inc., ("Claimant") vs. Lewis Joseph Franklin III, ("Respondent") ATTORNEYS: For Claimant appeared Martin P. Unger, Esq., of the firm Certilman Balin Adier & Hyman, LLP, Hauppauge, NY. Respondent did not submit an Answer to the Statement of Claim. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: November 21, 2007 CASE SUMMARY: Claimant alleged that

FINANCIAL INDUSTRY REGULATORY AUTHORITY DISPUTE RESOLUTION RICHARD OLSZEWSKI, Claimant, - against - ALLIANCE CAPITAL MANAGEMENT, L.P., ALLL\NCE CAPITAL MANAGEMENT HOLDING, L.P., ALLIANCE CAPITAL MANAGEMENT CORPORATION, ALLIANCEBERNSTEIN INVESTMENT RESEARCH AND MANAGEMENT, INC., ALLIANCEBERNSTEIN L.P., ALLIANCEBERNSTEIN INVESTMENTS, INC., and LEWIS SANDERS, an individual. FINRA Case No. 07-00643 STIPULATED AWARD Respondent