i I FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-03376 Scott Rosenberg ("Claimant") vs. Lincoln Financial Advisors Corporation ("Respondent") ATTORNEYS: Claimant appeared Pro se, Egg Harbor Township, NJ. For Respondent appeared Gerry KowalskI, Esq., Marshall, Dennehey, Warner, Coleman & Goggin, Philadelphia, PA. NATURE OF DISPUTE: Associated Person v. Member DATE FILED: November 26, 2007 CASE SUMMARY: Claimant alleged

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Jose Aristobulo Fiquene Barbosa and Evoluon Empreendimentos LTDA (Claimants) vs. UBS Financial Services, Inc., UBS International, Inc., Fabrizio Neves, and Claudio Izqulerdo (Respondents) Case Number: 07-02776 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Members and Associated Persons. REPRESENTATION OF PARTIES Claimants Jose Aristobulo Fiquene Barbosa

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Mark C. Fritz vs. Names of Respondents Granite Financial Group, LLC and Daniel J. Schreiber Case Number: 07-02094 Hearing Site: Cleveland, Ohio NATURE OF THE DISPUTE Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Mark C. Fritz ("Claimant") was represented by Lawrence J. Scanlon, Esq., Lawrence J. Scanlon & Co., LLC,

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number. 02-05037 Aktar Huda Name of the Respondents Hearinc Site: Los Angeles, California Equitrade Securities Corp. Albert Carazolez Nature of the Dispute: Customer vs. IVIember and Associated Person REPRESENTATION OF PARTIES Claimant Aktar Huda: In Pro Se, Chino Hills, California Respondent Equitrade Securities Corp.: Philip Roebuck, Equitrad

stipulated Award FINRA Dispute Resolution In the Matter of the Ariaitration Between: Name of the Claimant Case Number: 07-02881 John Rapillo Names of the Respondents Hearino Site: Boca Raton, Florida TD Ameritrade, Inc. Mikhael Helper Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For John Rapillo ("Rapillo"), hereinafter referred to as "Claimant": Bradford M. Gucciardo, Esq. and Scott D. Hirsch,

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Case Number: 07-02896 OptionsHouse, Inc. Name of Respondent Hearing Site: Denver, Colorado Christopher Bateman Counter-Claimant Christopher Bateman Counter-Respondent OptionsHouse, Inc. Nature of the Dispute: l\/lember v. Customer Customer v. Member REPRESENTATION OF PARTIES Claimant/Counter-Respondent OptionsHouse, Inc. hereinafter referred

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Case Number: 07-01930 Allyn Pon Name of Respondent Hearing Site: San Diego, California Fimat USA, LLC. Nature of the Dispute: Customer v. Member REPRESENTATION OF PARTIES Claimant, Allyn Pon: Vincent D. Slaven, Esq., Krause, Kalfayan, Benink & Slavens, San Diego, California Respondent Fimat USA, LLC.: John W. Cotton, Esq., Cotton & Gundzil^, LLP. Los

FiNRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-03463 Carmit Dragushansky, ("Claimant") vs. Spencer-Winston Securities Corporation ("Respondent") ATTORNEYS: Claimant appeared pro se, North Woodmere, NY. For Respondent appeared in-house counsel Oscar Echman, President, New York, NY. NATURE OF DISPUTE: Customer vs. Member DATE FILED: December 6, 2007 CASE SUMMARY: Claimant alleged that Respondent moved funds without authorizat

FINRA DISPUTE RESOLUTION AWARD FiNRA DISPUTE RESOLUTION CASE: 08-00272 Raymond James and Associates, Inc. ("Claimant") vs. John Nysather ("Respondent") ATTORNEYS: For Claimant Raymond James and Associates, Inc., appeared Kelli Bullington, Esq., in- house counsel, (Raymond James and Associates, Inc., St. Petersburg, FL. Respondent appeared Pro se, Oregon, IL. NATURE OF DISPUTE: Member vs. Associated Person DATE FILED: January 31, 2008 CASE SUMMAR

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Town Plaza II Investment Ltd. vs. Names of Respondents Cantone Research Inc. and William Abbate, Sr. Names of Claimants Ely Tama and Andrea Tama vs. Names of Respondents Cantone Research. Inc. and William Michael Abbate Case Number: 04-05809 Hearing Site: Southfield. Michigan Consolidated with: Case Number: 04-05788 Heari