Award FiNRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 07-01409 Joan Colman Eric Colman Names of the Respondents Hearing Site: Boca Raton. Florida Andrew J. Costa John Thomas Costa Financial Services, Inc. Nature of the Dispute: Customer vs. Associated Person and Member. REPRESENTATION OF PARTIES Joan Colman and Eric Colman. hereinafter collectively referred to as "Claimants", app

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Banc of America Investment Services, Inc. vs. Case Number: 07-01730 Hearing Site: Oklahoma City, Oklahoma Name of Respondent Gregory Burden NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES Banc of America Investment Services, Inc. ("Claimant") was represented by Gregory Simon, Esq., Kane & Fischer, LTD, Chicago, Illin

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: H & R Block Financial Advisors, Inc. (Claimant) vs. Jeffrey R. Bacon (Respondent) Case Number: 07-02850 Hearing Site: Boston, Massachusetts Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant H & R Block Financial Advisors, Inc., hereinafter referred to as "Claimant": Edward A. Walton, Esq., H & R Block Financial Advisors, Inc., Detroit, Ml.

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-03203 Citigroup Global Markets, Inc. ("Claimant") v. Jonathan Moebus ("Respondent") ATTORNEYS: For Citigroup Global Markets, Inc. appeared Justin Joseph D'Elia, Esq., Duane Morris, LLP, New York, NY. For Jonathan Moebus appeared Celia A. Barlow, Esq., Blackwell, Tarantine & Certo, P.C, Pittsburgh, PA. NATURE OF DISPUTE: Member v. Customer DATE FILED: November 9, 2007 CASE SUMMA

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-03204 Smith Barney, a division of Citigroup Global Markets, Inc. by and through its assignee DSP, LLC, ("Claimant") vs. Ronald Ash, ("Respondent") ATTORNEYS: For Claimant appeared Justin Joseph D'Elia, Esq., of the fimn Duane Morris LLP, New York. NY. Respondent appeared pro se, Tiburon, CA. NATURE OF DISPUTE: Member vs. Customer DATE FILED: November 9, 2007 CASE SUMMARY: Claim

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Valerie Simmons (Claimant) vs. Hawthorne Securities Corporation (Respondent) Case Number: 06-03863 Hearing Site: Boston, Massachusetts Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Valerie Simmons hereinafter referred to as "Claimant": Michael J. Listen, Esq., Boston, MA. Claimant was previously pro se. Respondent Hawthorne Securities Corporatio

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number. 07-01389 Ken Frain Names of the Respondents Hearina Site: Orlando, FL H.D. Vest Investment Services, Inc. David Cowoski Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Ken Frain, hereinafter referred to as "Claimant": Scott L. Silver, Esq., Blum & Silver, LLP, Coral Springs, FL. For Re

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Mary Ann Shenvood, Individually and as the Successor in Interest to Rosemary Luckenbaugh Name of the Respondent Morgan Stanley DW Inc. Case Number: 06-01722 Hearing Site: San Francisco, California Nature of the Dispute: Customer v. Member REPRESENTATION OF PARTIES Claimant, Mary Ann ShenA^ood. Individually and as the Successor in Interest to

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants Case Number: 07-01095 Evelyn Brandin, IRA and Evelyn Brandin, Trustee of the Brandin Family Trust Names of the Respondents Hearing Site: Las Vegas, Nevada James R. Thomas, James Burchard, SJB Investments. LLC, and JKR & Comoanv Nature of the Dispute: Customers v. Member, Non-Member and Associated Persons REPRESENTATION OF PARTIES Claimants Evelyn B

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 06-01384 Susan A. Wicklzer Respondents Hearing Site: Denver, Colorado Morgan Stanley DW Inc. Jeffrey S. Toman Piper Jaffray& Co. Nature of the Dispute: Customer vs. Members and Associated Person REPRESENTATION OF PARTIES Claimant, Susan A. Wicklzer ("Wicklzer") hereinafter referred to as "Claimant". Paul A. Young of Securities Arbitration Group