Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Genevieve Dusing, Claimant v. WM Financial Services, Inc. and Darren R. Tolan, Respondents Case Number. 04-08780 Hearina Site: Los Angeles, California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Wild Chang, Esq. Wild Chang & Chang Rowland Heights, California For Respondent WM Financial Services, Inc.: Grego

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Cynthia E. Hober, Bernard H. Hober, Cynthia E. Hober Cust Kendall Ann Hober, Cynthia E. Hober Cust John Bernard Hober, Claimants v. Merrill Lynch, Pierce, Fenner & Smith incorporated. Respondent Case Number: 06-03869 Hearina Site: Los Angeles, California Nature of the Dispute: Customers v. Member REPRESENTATION OF PARTIES For Claimants: Victor G. Zilinskas, Esq. Eric A. Woo

Award FiNRA Dispute Resolution In the Matter of the Arbitration Between: Debra C. Cascardo (Claimant) vs. A.G. Edwards & Sons, Inc., The Condon Group. Thomas J. Condon. Joseph McNally. Stephen Condon. Neal Baumann. Robert L. Bagby. Brian UndenA/ood. Padraic Murray, and Kevin Hoffman (Respondents) Case Number: 06-03193 Hearina Site: New York. New York Nature of the Dispute: Customer vs. Member, Assoicated Persons, and Non-Member. REPRESENTATION OF PARTIE

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: L. H. Ross & Company, Inc. (Claimant) vs. James Pecoraro, Nigel James, Davis Lawrence, Kendell James, Michael Joaquin, Donnell Allen, Jay Capodiferro, Jeffrey Bello, Gregory Fils-Aime, Safdar Mursalin, James Carr, and Samuel Roslow (Respondents) vs. Frank Michelin (Third-Party Respondent) Case Number: 05-00087 Hearina Site: New York, New York Nature of the Dispute (Initial Claim)

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-03661 Victor Divietro (consolidated with 06-03674) Name of the Respondent Hearing Site: Tampa, Florida Merrill Lynch, Pierce, Fenner & Smith Incorporated In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-03674 Merrill Lynch, Pierce, Fenner & Smith Incorporated (consolidated with 06-03661) Names of the Respond

Award NASD Dispute Resolntion In the Matter of the Arbitration Between: •Mam*. f>f tVio rifljmantg PacP TMimi>v^- 00-01084 I-Ling and Diana Chow Mamff nf thf ^F-KpnnAmu H«>aritig sitP- Washington, DC Makefield Securities Corporation Alvin Hoffinan 'ARTfFS Claimants, I-Ling and Diana Chow ("Chow") hereinafter referred to as "Claimants": John P. Connolly, Esq., Law Offices of John P. Connolly, Alexandria, VA. Respondent, Makefield Securities C

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Nagai S. Rajendran (Claimant) vs. Emmett A. Larkin Company, Inc. (Respondent) Case Number: 06-03425 Hearing Site: New York, New York • Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Nagai S. Rajendran hereinafter referred to as "Claimant": Benjamin Lapin, Stock Market Recovery Consultants, Inc., Brooklyn, NY. Respondent Emmett A. Larkin Company,

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: MidSouth Capital, Inc. (Claimant) vs. Roger Charles Faubel (Respondent); and Dow Financial Services (additional Party CounterClaimant) Case Number: 05-00899 Hearing Site: Cleveland, Ohio Nature of the Dispute: Member vs. Associated Person; Non-Member. REPRESENTATION OF PARTIES Claimant MidSouth Capital, Inc., hereinafter referred to as "Claimant:" Thomas R. Todd, Jr., Esq., Atl

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 07-00621 LaSalle Street Securities, L.L.C. Name of the Respondent Hearing Site: Raleigh, NC Morris C. Weisner Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For LaSalle Street Securities, L.L.C. ("LaSalle"), hereinafter referred to as "Claimant": Stephen B. Diamond, Esq., Schad, Diamond & Shedden, P.C, Chicag

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 07-00715 Luther B. Oakes, Jr. Name of the Respondent Hearing Site: Jackson, Mississippi UBS PaineWebber Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Luther B. Oakes, Jr., hereinafter referred to as "Claimant": Kirk G. Smith, Esq., Shepherd, Smith & Edwards, LLP, Houston, Texas. For UBS PaineWebber, hereinaft