stipulated Award FINRA Diapute Resolution In the Matter of the Arbitration Between: Leon Farber (Claimant) vs. Brool< street Securities Corporation, National Financial Services, LLC, Norman Robert Malo, Stanley Clifton Brooks. Scott Stanley Brooks, Julie Brooks Mains, and Barry M. Kornfeld (Respondents) Case Number: 07-03530 Hearing Site: New York. New York Nature of the Dispute: Customer vs. Members and Associated Persons. REPRESENTATION OF PARTIES C

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Robert Granville Knox (Claimant) vs. Zions First National Bank, Zions Direct, Inc., and Zions Bancorporation, Inc. (Respondents) Case Number: 07-03418 Hearina Site: New York, New York Nature of the Dispute: Associated Person vs. Member and Non-Members. REPRESENTATION OF PARTIES Claimant Robert Granville Knox ("Claimant"): Blake Miller, Esq.. Lauren Parry, Esq., and Craig H. Howe

Award FINRA Dispute Reaolution In the Matter of the Arbitration Between: Firet Empire Securities. Inc. (Claimant) vs. Lawrence Miele (Respondent) Case Number: 07-02191 Hearing Site: New Yoric. New Yori< Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Firet Empire Securities, inc., hereinafter referred to as "Claimant": Martin H. Kaplan, Esq.. Gusree, Kaplan Bruno & Nusbaum PLLC, New Yoric, NY. Respondent l-awre

Award RNRA Dteputo Resolution In the Matter of the Art)ltratton Between: NameoftheOairnant Case Number 08-00947 Banc of America investment Services, Inc. Name of the Respondent Hearing Site: Porttand, Oregon Mitchell Reed Johnson Name of the Counter-Ctehnant MItehell Reed Johnson Name of Hie Counter-Respondent Banc of America Investment Services, Inc. Nature of the Diapute: Member vs. Associated Person Associated Person vs. Me

Award FINRA Dispute Resolution in the Mattera of the Ariaitration Between: Name of the Claimant: Weils Fargo Investmente, LLC Name of the Respondent: Bob J. Boyd Case Number 08-00203 Hearing Site: Dallas, Texas Name of Counter-Claimant: Bob J. Boyd Name of Counter-Respondent: Wells Fargo Investmente, LLC Name of Third-Partv Claimant: Bob J. Boyd Name of ThIrd-Partv Respondent: Winford G. Bradley Name of Third-Partv Counter

Award FINRA Dteputo Resolution In the Matter of the Arbitration Between: Claimante Case Number 08-02517 George R. Joyce and Dorothy R. Joyce Marie L. Thompson Toistee tor the Mari( L. Thompson Tmst Rosalin Rogers Respondente Hearino Site: Denver, Colorado Royal Alliance Associates. Inc. United Securities Alliance, inc. Nature of the Dispute: Customers vs. Membere REPRESENTATION OF PARTIES Claimante George R. Joyce and Dorothy R. Joyce

Award FINRA Dispute Resolution in the Matter of the Arbitration Between: Claimant Case Number 08-01722 Rod J. Babbitt ResDondents Hearing Site: Salt Lake City, Utah America's Chotee Equities, LLC RBC Dain Rauscher, Inc n/k/a RBC Capital Maricets Corporation Nature of the Dispute: Customer vs. Members REPRESENTATION OF PARTIES Claimant, Rod J. Babbitt, hereinafter referred to as "Claimant": Jan Greham, Esq., Graham Law Offices, Salt Lake C

Award FINRA Dispute Rttsolutlon In the Matter of the Arbitration Between: Name of the Claimant Wesley A. Rusch Name of the Respondente Merriman Curhan Ford & Co.; MCF Asset Management LLC; MCF/NV Asset Management LLC; Christopher L. Aguiiar; David J. Merriman; Gregory S. Curhan; Roiaert E. Ford, Jr. and Sally M. Noble Case Number 07-02635 Hearing Site: San Francisco, Califomia Nature of the Dispute: Associated Person vs. Membe

STIPULATED AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant/Counter-Respondent Wachovia Securities, LLC vs. Name of Respondent/Counter-Claimant David W. Strand Case Number: 08-00340 IHearing Site: Detroit. Michigan NATURE QF THE DISPUTE Member vs. Associated Person REPRESENTATION QF PARTIES Wachovia Securities. LLC ("Claimant" or "Wachovia") was represented by Diane C. Fischer, Esq.. Ronald P.

AWARD FINi^ Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Laurence and Nancy Knepper and Charna Knepper vs. Case Number: 07-00245 l-learing Site: Kansas City, Missouri Name of Respondent Andrew Garrett, Inc. DISPUTE Customers vs. Member Laurence and Nancy Knepper and Chama Knepper, hereinafter collectively referred to as "Ciaimante." were represented by Robert R. Barton, Esq., The Law Office of Robert