stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: GunnAllen Financial. Inc. (Claimant) vs. Carlos Bonilla and Jamie Diaz (Respondents) Case Number: 07-02629 Hearing Site: New Yorl< , New York Nature of the Dispute: Member vs. Associated Persons. REPRESENTATION OF PARTIES Claimant GunnAllen Financial, Inc., hereinafter referred to as "Claimant": Willard R. Knox, Esq., Paduano & Weintraub LLP, New York. NY. Respondents

Award FINRA Dispute Resolution in the Matter of the Arbitration Between: Wachovia Securities. LLC (Claimant) vs. William Dahm (Respondent) Case Number: 08-02780 Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Wachovia Securities, LLC, hereinafter referred to as "Claimant": Cliff G. Anderson, Esq., Michaels. Ward & Rabinovitz, LLP, Boston, MA. Respondent William Dahm her

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Bear, Steams & Co., Inc. (Claimant) vs. UBS Securities LLC (Respondent) Case Number: 07-03484 Hearing Site: New York, New York Nature of the Dispute: Member vs. Member. REPRESENTATION OF PARTIES Claimant Bear Stearns & Co., Inc., hereinafter referred to as "Claimant": Eugene L. Small, Esq., Gibbons P.C. New York, NY. Respondent UBS Securities LLC hereinafter referred to as "Res

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-03686 Oppenheimer & Co., Inc., ("Claimant") vs. Caroline Mellema, ("Respondent") ATTORNEYS: For Claimant appeared Raquei Terrigno, Esq., In-house Counsel, New York, NY. For Respondent appeared David A. Weintraub, Esq., David A. Weintraub, P.A., Fort Lauderdale, FL. NATURE OF DISPUTE: Member vs. Associated Person DATE FILED: October 8. 2008 CASE SUMMARY: Claimant alleged amount owed

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: American Capital Partners, LLC (Claimant) vs. Jamie Rodriguez (Respondent) Case Number: 08-01302 Hearing Site: New Yoric. New Yorl^ Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant American Capital Partners, LLC, hereinafter referred to as "Claimant": J. Christopher Albanese, Esq.. American Capital Partners, LLC, Hauppauge, NY. Respondent

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-03809 Lori IHartglass, ("Claimant") vs. Fidelity Investments Institutional Sen/ices Company Inc. and Fidelity Brolcerage Services LLC, ("Respondents") ATTORNEYS: Claimant appeared Pro se, Weston, FL. For Respondents appeared Erin K. Fair, Esq., In-house Counsel, Boston, MA. NATURE OF DISPUTE: Customer v. Members DATE FILED: October 17, 2008 CASE SUMMARY: Claimant alleged that Respo

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: William Scott (Claimant) vs. UBS Financial Sen/ices, Inc. (Respondent) Case Number: 06-04482 Hearing Site: Newark. New Jersey Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant William Scott hereinafter referred to as "Claimant": David Burton Brady, Esq., Brady & Con-eaie. LLP. Morristown, NJ. Previously represented by David Burton Brady, Es

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Song Sop Choe (Claimant) vs. Fordham Financial Management, Inc. (Respondent) Case Number: 08-03221 Hearino Site: New York, New York Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Song Sop Choe hereinafter referred to as "Claimant" appeared pro se. Respondent Fordham Financial Management, Inc., hereinafter referred to as "Respondent": Phy

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Clark C. Coulston and Lucille Coulston JTRWOS (Claimants) vs. Citigroup Global Markets, Inc.. and Jack B. Grubman (Respondents) Case Number: 04-04992 Hearing Site: Philadelphia, Pennsylvania. Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant Clark C. Coulston ("C. Coulston") and Lucille Coulston ("L. Coulston") JTRWOS, hereinaft

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 08-01052 Investment Professionals, Inc. Respondents Hearing Site: Dallas, Texas Corey Michael McCarty Cary Edward Scheer Counter-Claimants Corey Michael McCarty Cary Edward Scheer Counter-Respondent Investment Professionals, Inc. Nature of the Dispute: Member vs. Associated Persons Associated Persons vs. Member REPRESENTA