AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Mary Buschkopf, Jane Buschkopf. Kenneth Graff, Mary Jo Graff, and Jeanne McFadden, for Kathleen McFadden POA vs. Case Number: 07-03401 Hearing Site: Chicago, Illinois Names of Rest>ondents Capitol Securities Investments Corp. and Stonley A. Klimek NATURE OF THE DISPUTE Customers vs. Member and Associated Person REPRESENTATION OF PARTIES

Award FINRA Dispute Resolution In tiie Matter of the Arbitration Between: Names of tiie Claimants Case Number: 08-01931 Jawad N. Hammad and Deena J. Hammad Jude J. Hammad Names of the Respondents Hearing Site: Washington. D.C. National Financiai Services LLC Banc of America Investment Sen/ices, Inc. Bank of America Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Jawad N. Hammad, Deena J. Hammad, and Jude J. Hamm

Award FINRA Dispute Resolution In the Matter of the Arisitration Between: Name of the Claimant Case Number: 08-00125 First Allied Securities, Inc. Name of the Respondent Hearing Site: San Diego, Califbmia Peter Anthony Hoist Nature of Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant, First Allied Securities, Inc.: Anne Yannakakis, Esq., First Allied Securities, Inc., Chesterfield, Missouri Respondent, Peter Anthony Ho

Award FINRA Dispute Resolution In the Matter of the Arbitration BetiMeen: Name of Claimant Case Numlaer 06-04310 Deutsche Banic Securities, Inc. Name of Respondent Hearina Site: Los Angeles, Califbmia Jaysen McCleary Name of Counter-Claimant Jaysen McCleary Name of Counter-Respondent Deutsche Bank Securities, Inc. Nature of the Dispute: Memlser v. Associated Person Associated Person v. Member REPRESENTATION OF PARTIES Claimant/Co

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Banc of America Investment Services, Inc. (Claimant) v. James Holway (Respondent) Case Number: 06-04114 Hearing Site: Boston. Massachusetts Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant Banc of America Investment Services, Inc., hereinafter referred to as "Claimant": Diane C. Fischer, Esq., Kane and Fischer, Ltd., Chicago, IL.

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-00784 Clyde Davenport ("Claimant") v. Monica M. Woods ("Respondent") ATTORNEYS: Claimant appeared PHD se, San Diego, CA. For Respondent appeared Andrew E. Bender, Esq., Memphis, TN. NATURE OF DISPUTE: Associated Person v. Customer DATE FILED: March 17, 2008 CASE SUMMARY: Claimant alleged that Respondent filed a false complaint against him resulting in him suffering personal and pro

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-02986 Option House, Inc. ("Claimant") v. Gregory Colley ("Respondent") ATTORNEYS: For Claimant appeared Lesley G. Smith, Esq., Schopf & Weiss LLP, Chicago, IL. Respondent Gregory Colley did not submit an Answer to the Statement of Claim. NATURE OF DISPUTE: Member v. Customer DATE FILED: August 25. 2008 CASE SUMMARY: Claimant alleged breach of the Customer Agreement and the other Ag

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Avi Warga (Claimant) vs. Bishop, Rosen & Co., Inc., Robert Rosen, and Isaac Schleslnger (Respondents) Case Number: 07-03346 Hearing Site: New Yorl^, New Yoric Nature of the Dispute: Associated Person vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant Avi Warga hereinafter referred to as "Claimant": Alan S. Fellheimer, Esq., Fellheimer and Eichen LLP, Philadelph

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 06-02610 Dr. Robert B. Richards and Estse L. Richards, C'CIaimants") vs. Wachovia Securities, LLC and Diego Alejandro Velasquez, ("Respondents") ATTORNEYS: ~ Claimarrts appeared pro 59, Pembroke Pines, FL. For Respondents appeared in-house counsel Deirdre Wotff, Esq., St. Louis, MO. NATURE OF DISPUTE: Customers v. i^lember and Associated Pereon DATE FILED: July 28. 2008 CASE SUMMARY

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Kathryn W. Miller (Successor Trustee to Lucile D. Wulff Trust) (Claimant) vs. Merrill Lynch Pierce Fenner & Smith, Inc., Nancy Kellog Gray, Ted Candella and Janet Elaine Bitner Caylor (Respondents) Case Number: 06-02419 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant The Lucile D. Wulff Trust