AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Ira Mike Patton and Gayle Patton vs. Name of Respondent Wachovia Securities, LLC, f/k/a First Union Securities Case Number: 07-01729 Hearing Site: Louisville, Kentucky NATURE OF THE DISPUTE Customers vs. Member REPRESENTATION OF PARTIES Ira Mike Patton and Gayle Patton ("Claimants") were represented by Jeff S. Daniel, Esq., Law Offices

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-02329 Dave Schutz, ("Claimant") vs. A.G. Edwards & Sons, Inc. and Mark Gundy, ("Respondents") ATTORNEYS: For Claimant appeared Steven M. Green, Esq., San Diego, CA. For Respondents appeared in-house counsel James C. Browning, Jr., Esq., St. Louis, MO. NATURE OF DISPUTE: Customer v. Member and Associated Person DATE FILED: August 10, 2007 CASE SUMMARY: Claimant alleged that Resp

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Azar IVI. Hamid (Claimant) vs. Vision (Respondent) Case Number: 08-00519 Hearina Site: New York. New York Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Azar M. Hamid hereinafter referred to as "Claimant": Mitchell Markowitz, Stock Market Recovery Consultants, Inc., Brooklyn, NY. Respondent Vision hereinafter referred to as "Respondent": Kenneth

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: The Smith Barney Division of Citigroup Global Markets, Inc. (formeriy known as Salomon Smith Barney, Inc.) (Claimant) vs. Michael Fisher and UBS Financial Services, Inc. (Respondents) Case Number: 07-02816 Hearina Site: New York, New York Nature of the Dispute: Member vs. Associated Person and Member. REPRESENTATION OF PARTIES Claimant The Smith Barney Division of Ci

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimants: Case Number: 07-00446 Rock Mirich Brent Cowin Respondents: Hearing Site: Las Vegas, Nevada Lisa Dry, Bank of America, Banc of America Investment Sen/ices, Inc. Julie G. Castle, Mary P. With, William K. Tanem, David M. Winchell, Jeffrey A. Graves, Matthew J. Howard, Pat Jagielski, and Keith A. Schmidt Counter-Claimant: Banc of America Investment Servic

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Banc of America Investment Services, Inc. Respondent Andy J. James Case Number: 06-05408 Hearing Site: Phoenix, Arizona Counter-Claimant Andy J. James Counter-Respondent Banc of America Investment Services, Inc. Nature of the Dispute: Member vs. Associated Person Associated Person v. Member REPRESENTATION OF PARTIES Claimant/Counter-Responde

AWARD FiNRA Dispute Resolution In the Matter of the Arisitration Between: Names of the Claimants: Case Number. 07-00074 Daryi Scheaffer. Linda Scheaffer, John Prymalc, Lillian Prymak, Preston Smith, Sheila Smith, Paul Prymak, Darrel W. Longley, Vera J. Longley, Robert Daley, Brenda Daley, Jane Specketer, John S. Hartman, Anthony J. Pisani, Patricia A. Pisani, Sammy J. Martinez, Trustee of the Revocable Living Trust of Sammy J. Martinez, Leslie E. Davis,

FiNRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-03285 Susan Lorraine Sullivan, ("Claimant") vs. WMA Securities Inc., Lowell Forest McCain and Elena Kane, ("Respondents") ATTORNEYS: For Claimant appeared Jonathan Schaan of Northwestern University School of Law, Chicago, IL. For Respondents Lowell Forest McCain and Elena Kane appeared Cameron W. Thomas, Esq., Musick, Peeler & Garrett, LLP, Los Angeles, CA. For Respondent WMA Secur

STIPULATED AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimants: First Command Financial Planning, Inc. First Command Financial Services, Inc. Respondents: John Washnock James Washnock Counter-Claimants: John Washnock James Washnock Counter-Respondents: First Command Financial Planning, Inc. First Command Financial Services, Inc. Case Number: 07-01275 Hearing Site: Dallas, Texas Nature of

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: David Dinges, Jr., and Susan Dinges (Claimants) vs. McLaughlin, Piven, Vogel Securities Inc., and Lawrence Thomas Tulenko (Respondents) Case Number: 06-04153 Hearing Site: Newark, New Jersey Nature of the Dispute: Customers vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimants David Dinges, Jr. ("D. Dinges") and Susan Dinges ("S. Dinges"), hereinafter collective