FiNRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-01607 Arena Capital Advisors, LLC, f Claimant") vs. CopperRoad Corporation, ("Respondent") ATTORNEYS: For Ciaimant appeared in-house counsel, Davkj Bass, Raleigh, NC. For Respondent appeared in-house counsel, Reginald Sanders Bruce, Raleigh, NC. NATURE OF DISPUTE: Member vs. Customer DATE FILED: May 20. 2007 CASE SUMMARY: Claimant alleged that Respondent breached an investment banking

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Joan L. Lair (Claimant) vs. Neuberger Berman LLC (Respondent) Case Number: 06-05211 Hearing Site: Newark. New Jersey Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Joan L. Lair, hereinafter referred to as "Claimant": Mitchell N. Cobert, Esq., Mitchell N. Cobert, Attorney at Law, Morristown, NJ. Previously appeared pro se. Respondent Neuberger Ber

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-01270 Banc of America Investment Services, Inc., ("Claimant") vs. Bayan Airachid, ("Respondent") ATTORNEYS: For Ciaimant appeared Deborah A. IVIark, Esq., of tlie firm Kane & Fischer, Ltd., Chicago, IL. Respondent did not submit an Answer to the Statement of Claim. NATURE OF DISPUTE: l\/1ember v. Associated Person DATE FILED: April 20, 2007 CASE SUIVIMARY: Claimant alleged that

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: New Castle Financial Services LLC, Claimant v. Joel Zubaid, Respondent Case Number: 07-01413 Hearinq Site: Los Anceles. California Nature of the Dispute: Member v. Customer REPRESENTATION OF PARTIES For Claimant: Brett D. Zinner, Esq. New Castie Financial Services LLC Melville, New York John J. Gulino, Esq. Shuff Law Firm Santa Ana, California For Respondent: No

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Wachovia Securities, LLC, Claimant v. Walter P. Glass, Respondent Case Number: 05-03927 Hearinq Site: Los Angeles, California Nature of the Dispute: Member v. Associated Person REPRESENTATION OF PARTIES For Claimant: Timothy N. Will, Esq. Albert & Will, LLP Torrance, California For Respondent: Stephen M. Harris, Esq. Knapp Peterson & Clarke Glendale, Cali

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Norman R. Burns, Individually as Beneficiary of his Individual Retirement Account and as Tmstee of the Norman R. Burns Trust vs. Case Number: 06-03100 Hearing Site: Cleveland, Ohio Names of Respondents Multi-Financial Securities Corporation, formeriy known as Vestax Securities Corporation NATURE OF THE DISPUTE Customer vs. Member and Ter

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Citigroup Global Markets, Inc., the Successor in Interest to Legg Mason Wood Walker, Inc. vs. Name of Respondent Bret A. Swisher Case Number: 06-4112 Hearing Site: Columbus, Ohio NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION QF PARTIES Citigroup Global Markets, Inc., the Successor in Interest to Legg Mason Wood Walker, in

AWARD FINRA Dispute Resolution In the Matter of tlie Arbitration Between: Names of Claimants A. Dan Flannery and Tolman Flannery vs. Case Number: 06-04869 Hearing Site: Chicago, Illinois Names of Respondents Wachovia Securities, LLC and William Ray Muehlhauser, II NATURE QF THE DISPUTE Customers vs. Member and Associated Person REPRESENTATION OF PARTIES A. Dan Flannery and Tolman Flannery ("Claimants") were represented by Laurence M.

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Harold I. Geringer and Jeff G. Mallouk as Executors of the Estate of George Mallouk (Claimants) vs. Citigroup Global Markets, Inc., and Otto John Betz, ill (Respondents) Case Number: 07-00312 Hearinq Site: New York, New York Nature of the Dispute: Customers vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Harold I. Geringer ("Geringer") and Jeff G. Mallouk ("Ma

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-02051 Citigroup Global Markets. Inc. d/b/a Smith Barney, ("Claimant") vs. Econotek, LLC, ("Respondent) ATTORNEYS: For Claimant appeared Erin E. Mac Avoy, Esq., of the fimn Alonso, Andalkar & Kahn, P.C, New York, NY. Respondent did not submit an Answer to the Statement of Claim. NATURE OF DISPUTE: Member vs. Customer DATE FILED: July 13, 2007 CASE SUMMARY: Claimant alleged that