Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimants Case Number 07-01978 Mondofin Inc. Mondofin Inc. No. 1 Mondofin Inc. No. 6 Mondofin Inc. No. 11 Mondofin Inc. No. 12 Mondofin Inc. No. 13 Mondofin Inc. No. 23 Mondofin Inc. No. 24 Mondofin Inc. No. 33 Respondent Hearing Site: San Diego, Califomia Morgan Stanley DW Inc. Nature of the Dispute: Customers vs. Member REPRESENTATION OF PARTIES

Award FINRA Dispute Resolution in the Matter of the Arbitration Between: Name of the Claimant: Jason L. Laney Name of the Respondent: Wachovia Securities, Inc. n/l^a Wachovia Securities, LLC Case Number: 05-05018 Hearino Site: San Francisco, California Name of Counter-Claimant: Wachovia Securities, Inc. n/k/a Wachovia Securities, LLC Name of Counter-Respondent: Jason L. Laney Nature of Dispute: Associated Person v. Member

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 07-03230 Banc of America Investment Services, Inc. Name of the Respondent Hearing Site: Boca Raton, Florida Alfredo Grandal Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Banc of America Investment Services, Inc.. hereinafter referred to as "Claimant": D. Daxton White, Esq., Kane & Fischer, Ltd

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Basil A. i^^anyshow. Individually and as Trustee for the Basil A. Manyshow Profit Sharing Plan vs. Case Number: 07-02941 IHearing Site: Pittsburgh. Pennsylvania Name of Respondent Citigroup Global Markets, Inc. MATURE OF THE DISPUTE Customers vs. Member REPRESENTATION QF PARTIES Basil A. Marryshow ("Manyshow"). individually and as Trustee

AWARD FINRA Dispute Resolution in the Matter of the Arbitration Between: Name of Claimant Citigroup Global Markets, inc. vs. Name of Respondent Dewey D. Steffen Case Number: 08-00291 Hearing Site: Southfield, Michigan Member vs. Associated Person Citigroup Global Markets. Inc. ("Claimant") was represented by Gregory B. Simon, Esq., and Diane C. Fischer, Esq.. Kane & Fischer, Ltd., Chicago, Illinois. Dewey D. Steffen ("Respondent") wa

AWARD FINRA Dispute Resolution in the Matter of the Arbitration Between: Name of Claimant i\1organ Stanley & Co., Incorporated vs. Case Number: 08-0076g Hearing Site: Chicago. Illinois Name of Respondent Todd R. Potter Member vs. Associated Person Morgan Stanley & Co.. Incorporated ("Claimant" or "Morgan Stanley") was represented by Philip J. Campisi. Jr.. Esq., Westennan Ball EdererMiller& Sharfetein. Mineola. New York. Todd R. Potter (

Stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 07-03476 Virginia McGaughran Omega Psychology Center, Inc. Names of the Respondents Hearing Site: Boca Raton, Florida Ameriprise Financial Services Omnlvest, Inc. Andrew Jay Boneparth Adam Lee Vila AFS Brokerage, Inc. Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 07-03116 Janice Owen, Individually and on behalf of the Janice D. Owen IRA Name of the Respondent Hearing Site: Cleanwater, Florida Summit Brolcerage Services, Inc. Nature of the Dispute: Customer vs. Memt>er. REPRESENTATION QF PARTIES For Janice Owen, Individually and on behalf of the Janice D. Owen IRA, hereinafter referred to as "Cla

Award FINRA Dispute Resolution In the Matter of the Arisitration Between: Claimant Case Number 07-02792 First Allied Securities, Inc. Respondent Hearing Site: Portland. Oregon Stephen L. Brown Counter-Claimant Stephen L. Brown Counter-Respondent First Allied Securities. Inc. Nature of the Dispute: Member vs. Associated Person Associated Person vs. Member REPRESENTATION OF PARTIES Claimant/Counter-Respondent First Allied Securitie

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant / Counter-Respondent Wachovia Securities. LLC vs. Case Number: 08-00718 (Hearing Site: Cleveland, Ohio Name of Respondent / Counter-Claimant Diane Spencer Member vs. Associated Person Wachovia Securities, LLC ("Wachovia") was represented by Renan Sugarman, Esq., Chicago, Illinois. Diane Spencer ("Spencer") was represented by Christopher M. DeVito, E