FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-01636 Wachovia Securities, LLC ("Claimant/Counterclaim Respondent") vs. Bruce Cooke ("Respondent/Counterclaim Claimant") ATTORNEYS: For Claimant/Counterclaim Respondent Wachovia Securities, LLC appeared Renan I. Sugarman, Esq., Chicago, IL For Respondent/Counterclaim Claimant Bruce Cooke appeared John F. Marsini, Esq., Wallingford, PA NATURE OF DISPUTE: Member v. Associated Person

Award FINRA Dispute Resolution In the IVIatter of the Arbitration Between: Francis J. McDonough (Claimant) vs. W.H. Reaves & Company (Respondent) Case Number: 06-02188 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. I\^ember. REPRESENTATION OF PARTIES Claimant Francis J. IVIcDonough ("Claimant"): Robert S. Whitman, Esq., Seyfarth Shaw LLP, New York, NY, formerly with the firm Orrick, Herrington & Sutcliffe, New York, NY.

Stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Advest, Inc. (Claimant) vs. Wachovia Securities, LLC (Respondent) Case Number: 05-05856 Hearing Site: New York, New York Nature of the Dispute: Member vs. Member. REPRESENTATION OF PARTIES Claimant Advest, Inc., hereinafter referred to as "Claimant": Michael J. Fortunato, Esq., Rubin & Fortunato P.C, Paoli, PA. Previously represented by Tim Cole, Esq., Rubin & Fortun

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-02053 Libucki and Company, LLC, ("Claimant/Counterclaim Respondent") vs. Penn Mont Securities, ("Respondent/Counterclaim Claimant") ATTORNEYS: For Claimant/Counterclaim Respondent appeared Debra G. Speyer, Esq., of the firm Law Offices of Debra G. Speyer, Philadelphia, PA. For Respondent/Counterclaim Claimant appeared in-house counsel Richard B. Feinberg. Paoli, PA/ NATURE OF DISPU

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Begum Ahmed (Claimant) vs. Donaldson Lufkin & Jenerette Securities Corporation, Pershing LLC and Kashfi Sarker, vs. Abed Mansoor, and Aim Resources (Respondents) Case Number: 05-01070 Hearing Site: New York. New York Nature of the Dispute: Customer vs. Members and Associated Person vs. Associated Person and Non-Member. REPRESENTATION OF PARTIES Claimant Begum Ahmed hereinafter

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Devora Tilson, Individually, and as Co-Guardian of the Property Management of Jack Tilson, an incapacitated person, and Frank Yula, as Co-Guardian of the Property Management of Jack Tilson (Claimants) vs. Thomas R. Kershner and Kennerman Associates, Inc. (Respondents) Case Number: 06-05154 Hearing Site: Nevy York. New York Nature of the Dispute: Customers vs. Non-Members. REPRE

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 07-00952 Bella M. Darmon Name of the Respondent Hearing Site: Washington, D.C. Merrill Lynch, Pierce, Fenner & Smith, Inc. Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES For Bella M. Darmon, hereinafter referred to as "Claimant": John H. West, III, Esq., West & Costello, LLC, Baltimore, MD. For Merrill Ly

AWARD FiNRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants James W. Stafford and Ann B. Stafford vs. Case Number: 07-00339 Hearing Site: St. Louis, Missouri Name of Respondent A.G. Edwards & Sons, Inc. NATURE OF THE DISPUTE Customers vs. Member REPRESENTATION OF PARTIES James W. Stafford and Ann B. Stafford, hereinafter collectively referred to as "Claimants," were represented by Richard B. Fosher

stipulated Award FINFIA Dispute Resolution In the Matter of the Arbitration Between: Citigroup Global Markets Holdings, Inc. f/k/a Salomon Smith Barney Holdings, Inc. and Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc., Claimants v. Ronald F. Powell, Jr., Respondent Ronald F. Powell, Jr., Counter-Claimant v. Citigroup Global Markets Holdings, Inc. f/k/a Salomon Smith Barney Holdings, Inc. and Citigroup Global Markets, inc. f/k/a Salomon

Award FINRA Dispute Resolution In the Matter ofthe Arbitration Between; GunnAllen Financial (Claimant) vs. Wayne Lieberz (Respondent) Case Number; 06-04392 Hearing Site; New York, New York Nature ofthe Dispute; Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant GunnAllen Financial hereinafter referred to as "Claimant"; Michael P. Gilmore, Esq., Sims Moss Kline & Davis, LLP, Mineola, NY. Previously represented by Jay Israel, Esq., GunnA