Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Banc of America Investment Services, Inc., Claimant v. Teny Joe Vail, Respondent Case Number: 07-01520 Hearina Site: Pheonix. Arizona Nature of the Dispute: Member v. Associated Person REPRESENTATION OF PARTIES For Claimant: Ronald P. Kane Kane & Fischer, Ltd. Chicago, llinois For Respondent: Terry Joe Vail In Propria Persona Phoenix, Arizona CASE INFORMATION

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Wachovia Securities, LLC, Claimant v. Kenneth R. Bott. Respondent Kenneth R. Bott, Counter-Claimant v. Wachovia Securities, LLC, Counter-Respondent Case Number: 06-04113 Hearing Site: Las Vegas, Nevada Nature of the Dispute: Member v. Associated Person Associated Person v. Member REPRESENTATION OF PARTIES For Claimant: Douglas D. Callaway, Esq. Wachovia Securities, LLC

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-00710 Cliff Martin Naparsteck ("Claimant") vs. John Anthony Schoppe and Ameriprise Financial Services, Inc. (Respondents) ATTORNEYS: Claimant Cliff Martin Naparsteck ("Claimant") appeared pro se, Wellington, FL For Respondents John Anthony Schoppe and Ameriprise Financial Services, Inc. ("Respondents") appeared Neil P. Murphy, Esq., of the law-firm of Murphy & Anderson P.A., Jacksonvil

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 06-04356 MCM Advisors Corp. Dwight O. Campbell Donald M. Kent Name of the Respondent Hearing Site: Boca Raton, Florida Ernest G. McMullen Nature of the Dispute: Non-Member and Associated Person vs. Associated Person. REPRESENTATION OF PARTIES For MCM Advisors Corp. ("MCM"), Dwight O. Campbell ("Campbell") and Donald M. Kent ("Kent

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Basic Investors, Inc. (Claimant) vs. Glen Meyer (Respondent) Case Number: 06-04595 Hearina Site: New York, New York Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Basic Investors. Inc.. hereinafter referred to as "Claimant": Eric S. Hutner, Esq., Hutner Klarish LLP. New York. NY. Respondent Glen Meyer hereinafter referred to as "Responde

FiNRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-01824 Henry Feinstein and Augusta R. Feinstein, ("Claimants") vs. Banc of America Investment Sen/ices, Inc., ("Respondent") ATTORNEYS: Claimants appeared pro se. Green Valley, AZ. For Respondent appeared George F. Meierhofer, Esq., of the firm Becker & Poliakoff, LLP, New Yoric. NY. NATURE OF DISPUTE: Customers vs. Member DATE FILED: June 18, 2007 CASE SUMMARY: Claimants allege

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Cowen & Company, LLC (Claimant) vs. Paul F. Balser (Respondent) Case Number: 07-01665 Hearing Site: New York, New York Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Cowen & Company, LLC hereinaflier referred to as "Claimant": Lloyd 8. Clareman, Esq., Lloyd S. Clareman, P.C, New York, NY. Respondent Paul F. Balser hereinafter referred to

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Barbara King Family Trust, by Barbara King as Trustee, and Barbara King (Claimants) vs. UBS Paine Webber, Inc., David Kotowski, Dave Savetz, and Brian Golden (Respondents) Case Number: 03-09099 Hearing Site: New York, New York Nature of the Dispute: Initial Claim: Customers vs. Member and Associated Persons. Cross Claim: Member and Associated Persons vs. Associated Person.

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-01983 Michael D. Meyers and Mary C. Meyers ("Claimants") vs. H&R Block Financial Advisors, Inc. (OLDE Discount Corporation) and Jay Anthony Wireman ("Respondents") ATTORNEYS: Michael D. Meyers and Mary C. Meyers ("Claimants") appeared pro se, Columbus OH For H&R Block Financial Advisors, Inc. (OLDE Discount Corporation) and Jay Anthony Wireman ("Respondents") appeared Donald P. Wray, Jr.,

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Hong Ping Ng (Claimant) vs. Firstrade Securities, Inc. (Respondent) Case Number: 07-02297 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Hong Ping Ng hereinafter referred to as "Claimant": John Chou, New York, NY. Claimant previously appeared pro se. Respondent Firstrade Securities, Inc., hereinafter referred to a