stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Thomas J. Quigley (Claimant) vs. BNY Brokerage LLC (Respondent) Case Number: 06-04797 Hearing Site: New Yorl< , New York Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Thomas J. Quigley hereinafter referred to as "Claimant": Oren Giskan,Esq., Giskan Solotaroff & Anderson LLP, New York, NY. Previously represented by Oren Giskan,

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-00924 The Frank Family Limited Partnership (Claimant) vs. Young, Stovall and Company (Respondent) ATTORNEYS: For The Frank Family Limited Partnership ("Claimant") appeared Steven Frank, Loxahatchee, FL For Young, Stovall and Company ("Respondent") appeared Maria Flynn, Miami, FL NATURE OF DISPUTE: Customer v. Member DATE FILED: March 19, 2007 CASE SUMMARY: Claimant alleged erro

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Irving Becker (Claimant) vs. Merrill Lynch Pierce Fenner & Smith, Inc. (Respondent) Case Number: 06-02824 Hearing Site: Newark,. New Jersey Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Irving Becker hereinafter referred to as "Claimant": Jerome M. Solvers, Esq., Sonnenblick, Parker & Solvers, P.C., Freehold, NJ. Respondent Merrill Lync

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Stephen M. Friedberg, Madalyn Friedberg, Stephen Friedberg & Susan Friedberg TTEES for Trust under par B2A U/W/O Jacob Friedberg, Stephen & Madalyn Friedberg, Co-trustees Hilary F. Friedberg Irrevocable Trust, FBO Hillary Friedberg, U/A/D 6/27/88, Stephen & Madalyn Friedberg, Co-trustees, Barbara J. Friedberg Irrevocable Trust, U/A/D 6/27/88 FBO Barbara J. Friedberg, Barbara & Hilary F

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-01462 Pointe Capital, Inc. ("Claimant") vs. Craig Steven Redding ("Respondent") ATTORNEYS: For Claimant Pointe Capital, Inc. appeared Daniel R. Levene, Boca Raton, FL Respondent Craig Steven Redding did not submit an Answer to the Statement of Claim. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: May 7, 2007 CASE SUMMARY: Claimant alleged that Respondent violated the terms

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-01851 BOSC, Inc. Name of the Respondent Hearing Site: Memphis, Tennessee Brinkley Overton Farnsworth Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES BOSC, Inc., hereinafter referred to as "Claimant": Erica Anne Donwart, Esq., Frederic Dorwart LLC, Tulsa, Oklahoma. Brinkley Overton Farnsworth, hereinafte

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-03861 Wachovia Securities, LLC Name of the Respondent Hearing Site: Tampa, Florida James R. Tuberose Nature of the Dispute: Member v. Associated Person. REPRESENTATION OF PARTIES For Wachovia Securities, LLC, hereinafter referred to as "Claimant": Demian Betz, Vice President, Assistant General Counsel, Wachovia Securities, LLC, Richmond,

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 07-00255 H&R Block Financial Advisors, Inc. Name of the Respondent Hearing Site: Tampa, Florida Tara Richardson Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For H&R Block Financial Advisors, Inc., hereinafter referred to as "Claimant": Ronald P. Kane, Esq., Kane & Fischer, Ltd., Chicago, Illinois

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 05-01724 Geradons, S.L. Salvador Porte Eduardo Kawas Name of the Respondent Hearing Site: Boca Raton, Florida Goldman Sachs & Co. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Geradons, S.L., Salvador Porte and Eduardo Kawas, hereinafter collectively referred to as "Claimants": Dale Ledbetter, Esq. and

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant John Rauch vs. Name of Respondent Menrill Lynch, Pierce, Fenner & Smith, Inc. Case Number: 06-02189 Hearing Site: Indianapolis, Indiana NATURE OF THE DISPUTE Customer vs. Member REPRESENTATION OF PARTIES John Rauch ("Claimant") was represented by Mark E. Maddox, Esq., Maddox Hargett & Caruso, PC, Fischers, Indiana. Merrill Lynch, Pierce,