AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant/Counter-Respondent Oppenheimer & Co., Inc. vs. Case Number: 04-03134 Hearing Site: Chicago, Illinois Name of Respondent/Counter-Claimant Sami N. Daher and Name of Third-Partv Claimant Sami N. Daher vs. Name of Third-ParW Respondent CIBC World Martlets Corp. NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PART

Stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: COO Investment Services Corp. (Claimant) vs. Eric V. Wasson, David Fowler, Donna Furgal, NEXT Financial Group, Inc., and Greenstone Financial Group, Inc. (Respondents) Case Number: 07-01194 Hearing Site: Boston. Massachusetts Nature of the Dispute: Member vs. Associated Persons, Member, and Non-Member. REPRESENTATION OF PARTIES Claimant CCO investment Services Corp.,

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Charies I. Horberg, Sandra Horberg and Charles 1. Horberg. as Trustee of the Charles Horberg Jewelers, Inc. Defined Benefit Pension Plan and Trust dated 3/27/84 vs. Case Number: 07-02804 Hearing Site: Chicago, Illinois Names of Respondents David A. Noyes & Company and Sheldon Eisenberg NATURE OF THE DISPUTE Customers vs. Member and Ass

STIPULATED AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Timothy Collins vs. Case Number: 07-03467 Hearing Site: Detroit, Michigan Names of Respondents Inter Securities, Inc., David White, and Harvest Partners Financial, Inc. NATURE OF THE DISPUTE Customer vs. Member, Non-Member, and Associated Person Timothy Collins ("Claimant") was represented by Joel H. Kaufman, Esq., Farmington Hills,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Christopher R. Guarino. Mary M. Guarino and Christopher R. Guarino a.s Trustee for Vanessa Joan Guarino Reid 95-02843 L.C. Wegard & Co. Inc. Russell A. Kaufman REPRESENTATION Claimanis Christopher R. Guarino, Mary M. Guarino and Christopher R. Guarino as Trustee for Vanessa Joan Guarino Reid ("Claimants") were represented by Brian A. Sullivan,

Award FINRA Dispute Resolution In the Matter of the Art>itFation Between: Name of the Claimant Case Number 07-02653 Robert A. Frank Name of the Respondent Hearing Site: Baltimore. Maryland Penis, Baker Watts, Incorporated Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES For Robert A. Frank ("Frank"), hereinafter refered to as "Claimanf: Frank L. Kollman, Esq. and Ken C. Gauvey, Esq., Koiiman & Saucier, P.A., Timoniu

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-01203 Wells Fargo Investments, LLC ("Claimant") vs. James K. Maurice ("Respondent") ATTORNEYS: For Claimant appeared Diane C. Fischer, Kane & Fischer, Ltd., Chicago, IL. Respondent James K. Maurice did not submit an Answer to the Statement of Claim. NATURE OF DISPUTE: Member vs. Associated Person DATE FILED: April 21, 2008 CASE SUMMARY; Claimant alleged that Respondent failed to honor

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-0408 Ruth I. Farr ("Claimant") vs. PaineWebber Inc., c/k/n/a UBS Services USA. LLC, Prudential Equity Group, LLC, and Wachovia Securities, LLC ("Respondents") ATTORNEYS: For Claimant appeared William L. White, Jr., Wexford, PA. For Respondent Prudential Equity Group, LLC appeared in-house counsel, Kenneth Fuchs, Esq.. New York, NY. For Respondent Wachovia Securities, LLC appeared in-ho

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-03252 Richard B. McFarland, ("Claimant") vs. Associated Securities Corp.. ("Respondent") ATTORNEYS: Claimant appeared pro se, Watsonville, CA. For Respondent appeared Teri Zimon, Esq.. of the firm Edgerton & Weaver, LLP. NATURE OF DISPUTE: Associated Person vs. Member DATE FILED: November 9. 2007 CASE SUMMARY: Claimant alleged that Respondent breached a contract by failing to pay h

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-01040 Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney. Inc., ("Claimant") vs. Francisco A. Diaz, Jr., ("Respondent') ATTORNEYS: For Ciaimant appeared Gregoiy R. Crochet, Esq., of the firm Kutak Rock LLP, Atlanta, GA. Respondent did not submit an Answer to the Statement of Claim. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: April 2. 2008 CASE SUMIVIARY: C