FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-02263 Lorraine Ecker and Warren Ecker, ("Claimants") vs. Wachovia Securifies, LLC, ("Respondent") ATTORNEYS: Claimants appeared pro se, Delray Beach, FL. For Respondent appeared in-house counsel David J. Rice, Esq., Richmond, VA. NATURE OF DISPUTE: Customers vs. Member DATE FILED: Augu.st 3. 2007 CASE SUMMARY: Claimants alleged that Respondent negligently handled their account

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-02134 Robert L. Stern, Chapter 7 Trustee For Continental Broker-Dealer Corp ("Claimant") vs. Nicholas Joseph Cosmo ("Respondent") ATTORNEYS: For Claimant Robert L. Stern, Chapter 7 Trustee For Continental Broker-Dealer Corp appeared Nathan Schwed, Esq., of the law-firm of Zeichner, Ellman & Krause, LLP, New York, NY Respondent did not submit an answer to the Statement of Claim. NAT

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-01876 Robert B. Cash ("Claimant") vs. Banc of America Investment Services, Inc. ("Respondent") ATTORNEYS: For Robert B. Cash ("Claimant") appeared Laura I. Hillerich, Esq., of the law firm of Rendigs, Fry, Kiely & Dennis, LLP, Cincinatti, OH For Banc of America Investment Sen/ices, Inc. ("Respondent") appeared Richard A. Boucher, Esq., of the law firm of Boucher & Boucher Co., L.P.A.,

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Alison Ginn & Dr. Michael Ginn, JTWROS, Michael Ginn DDS PC Pension Plan dated 10/1/77 Michael Ginn Trustee, Michael Ginn Custodian for Eden Ginn UGMA/PA, Michael Ginn IRA, and Dr. Michael Ginn DDS PC Profit Sharing Plan dated 10/1/77 Michael Ginn Trustee (Claimants) vs. Morgan Stanley Dean Witter & Co., Dean Witter Reynolds, Inc., Morgan Stanley DW, Inc., and Marque Cohen (

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Wachovia Securifies, LLC (Claimant) vs. John J. Kennedy (Respondent) Case Number: 06-01892 Hearing Site: New York, New York Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Wachovia Securities, LLC, hereinafter referred to as "Claimant": Deborah Evans, Esq., Michaels, Ward & Rabinovitz, LLP, Boston, MA. Previously represented by Jennifer R

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-00028 Richard D. Almeroth Names of the Respondents Hearing Site: Charlotte, North Carolina Sterling Foster & Company, Inc. Bear Stearns Securities Corp. Jasen Michael Devlin Clayton Robert Sontag Frank Joseph Monroig Nature of the Dispute: Customer vs. Members and Associated Persons. REPRESENTATION OF PARTIES Richard D. Almer

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Katherine Mary Reeve, Claimant v. Advanced Equities, Inc., Respondent Case Number: 06-04606 Hearing Site: San Francisco, California Nature of the Dispute: Associated Person vs. Member REPRESENTATION OF PARTIES For Claimant: Niall P. McCarthy, Esq. Cotchett, Pitre & McCarthy Buriingame, California For Respondent: Edward T. Anderson, Esq. Advanced Equities, Inc. Chica

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Jan Green, Claimant v. R. Nickles & Company and Richard H. Nickles, II, Respondents Case Number: 03-00505 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Non-Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Jan Green In Propria Persona Reseda, California For Respondents: Gayle L. Wilder, Esq. Berkes Crane Robinson & Seal

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Charmaine M. Sherrill and Nathan F. Sherrill, Claimants v. Merrill Lynch, Pierce, Fenner & Smith Incorporated, Kenneth H. Albers, and Don Lee Snowder, Respondents Case Number: 06-04981 Hearing Site: Houston, Texas Nature of the Dispute: Customers v. Member and Associated Persons REPRESENTATION OF PARTIES For Claimants: For Respondents: Robert L. Rolnick, Esq. DeGras

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 07-02092 Gary A. Fitzer Names of the Respondents Hearing Site: Chariotte, North Carolina Burch & Company, Inc. ARI Financial Services, Inc. A. Randal Burch W. Brian Candler Joseph Warren Corpal Timothy E. Snodgrass Richard D. Gee Lauralea D. Ermel Michaeljohn Kudlik James H. Goode, Jr. Nature of the Dispute: Associat