AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Christopher W. Glaub vs. Name of Respondent Merrill Lynch, Pierce, Fenner & Smith Inc. Case Number. 05-06038 Hearing Site: Detroit, Michigan NATURE OF THE DISPUTE Customer vs. Member REPRESENTATION OF PARTIES Christopher W. Glaub ("Claimant") was represented by James C. Steffi, Esq., Law Offices of James C. Steffi, Bingham Farms, Michigan.

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 07-00586 Scott Efron Karen Efron Name of the Respondent Hearing Site: Boca Raton, Florida Merrill Lynch, Pierce, Fenner & Smith, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Scott Efron and Karen Efron, hereinafter referred to as "Claimants": Jeffrey Erez, Esq., Sonn & Erez, Fort Lauderdale, Florida.

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claire Cross, Claimant v. Samuel P. Solomon, Solomon Advisors, and Southwest Securities, Inc., Respondents Case Number. 06-04143 Hearing Site: Dallas, Texas Nature of the Dispute: Customer v. Members and Associated Person REPRESENTATION OF PARTIES For Claimant: Marie H. How, Esq. How Frels Rohde Woods &Dulee Dallas, Texas For Respondents Samuel P. Solomon and Solomo

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Connie Hamrah, Trustee of the Anthony D. and Doris P. Campagna Inrevocable Trust, July 22, 1988, Claimant v. UBS Financial Services. Inc., Ross Weller Galloway and Douglas John Hedley Jr., Respondents Case Number: 07-00197 Hearing Site: San Francisco, California Nature of the Dispute: Customer vs. I\1ember and Associated Persons REPRESENTATION OF PARTIES For Claimant: Connie Ja

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Jed Kaplan (Claimant) vs. Leonard Feinberg Trust, Leonard Feinberg IRA, Barbara Feinberg IRA, Robert Futterman IRA, Helene Futterman Roth IIRA, and Helene Futterman (Respondents) Case Number: 07-00462 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Customers. REPRESENTATION OF PARTIES Claimant Jed Kaplan hereinafter referred to as "Claimant": Steph

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Anthony T. Petchalonis (Claimant) vs. Memll Lynch, Pierce, Fenner & Smith, Incorporated, Citigroup Global Markets, Inc., f/k/a Salomon Smith Barney, Inc., Robert J. Vinskofski, Jr., Scott Hartshorn, and Gary Crisci (Respondents) Case Number: 05-04702 Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Customer vs. Members and Associated Persons. REPRESENTATION OF PARTIE

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Douglas Clayton Ashton and Mary Ann White (Claimants) vs. Urchin Capital Partners, LLC, and Peter Raad Fader (Respondents) Case Number: 06-04609 Hearing Site: Boston, Massachusetts Nature of the Dispute: Associate Persons vs. Member Firm and Associated Person. REPRESENTATION OF PARTIES Claimants Douglas Clayton Ashton ("Ashton") and Mary Ann White ("White") hereinafter collecti

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Mark J. Mothner (Claimant) v. Merrill Lynch, Pierce, Fenner & Smith, Incorporated (Respondent) Case Number: 07-00996 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Mark J. Mothner hereinafter referred to as "Claimant": Debora A. Pitman, Esq., Wechsler & Cohen, LLP, New York, NY. Respondent

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Clainnant / Counter-Respondent Banc of America Investment Services, Inc. vs. Case Number: 06-03280 Hearing Site: Oklahoma City, Oklahoma Name of Resoondent / Counter-Claimant Billy Jack Cowan NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES Banc of America Investment Services, Inc. ("BAI") was represented by Ronald Kane, Esq.,

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Deborah Comer, Claimant v. Christopher Lyons and Merrill Lynch, Pierce, Fenner & Smith Incorporated, Respondents Case Number: 06-04751 Hearing Site: Dallas, Texas Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Deborah Comer ProSe Dallas, Texas For Respondents: Alan Rafterman, Esq. Merrill Lynch, Pierce, Fe