Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Brendon R. Donovan (Claimant) vs. Lehman Brothers, Inc., and Richard D. Patterson (Respondents) Case Number: 06-02927 Hearing Site: Boston, IVIassachusetts Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Brendan R. Donovan hereinafter referred to as "Claimant" appeared pro se. Respondents Lehman Brothers, Inc. ("Lehman") and

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: David Gregory (Claimant) vs. Chase Investment Services Corp. (Respondent) Case Number: 07-01432 Hearing Site: Newark. New Jersey Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant David Gregory hereinafter referred to as "Claimant" appeared pro se. Respondent Chase Investment Services Corp., hereinafter referred to as "Respondent": Tracey C. Gilliam,

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-03489 Jon Nee Names of the Respondents Hearing Site: Charlotte, North Carolina Banc of America Investment Services, Inc. Bank of America, N.A. Nature of the Dispute: Associated Pereon vs. Member and Non-Member. REPRESENTATION OF PARTIES For Jon Nee, hereinafter referred to as "Claimant": William K. Diehl, Jr., Esq., James, McElroy &

Award FINRA Dispute Resolution in the Matter of the Arbitration Between: Names of the Claimants Case Number. 07-02321 George G. Neuner Grace A. Neuner Names of the Respondents Hearing Site: Fort Lauderdale, Florida Alex Ceron Wachovia Securities, LLC Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES George G. Neuner ("George Neuner") and Grace A. Neuner ("Grace Neuner"), hereinafter collectively

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 06-02577 Herman Kindred Ciaudean Kindred Bobby Townson Steve Phillips Jodi Phillips Wally Perry Martha Perry Charles Graham Gloranda Graham Noel Palmer Evelyn Palmer Hurston Chesser Edna Chltwood Sharen Ridgeway Don Bouldin James Bethune Morrell Chaivers Thomas Bell Dorothy K. Berry Maur

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 05-06360 Ismael Aviles-Torres Daisy Pastrana-Algarin Names of the Respondents Hearing Site: San Juan, Puerto Rico New World Financial, Inc. (A.K.A. Pacific Continental Securities, Corp. World Financial Group, Inc. & World Financial Capital Markets, Inc.) Jose Mirabel Ernesto Casco Richard Bell Hakim Kriout Nature of th

Stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-04968 Wachovia Securities, LLC Name of the Respondent Hearing Site: Boca Raton, Florida Sergio Negrini Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Wachovia Securities, LLC ("Wachovia"), hereinafter referred to as "Claimant": Diane C. Fischer, Esq., Ronald P. Kane, Esq. and, David H. Smith

STIPULATED AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Dionna L. Barker, Individually and as Trustee of the Dionna L. Barker U/A Trust DTD 10/8/2009, and IRA FBO Dionna Barker vs. Names of Respondents Bosc, Inc. and Paige L. Harris Case Number: 07-02670 Hearing Site: Oklahoma City, Oklahoma NATURE OF THE DISPUTE Customer vs. Member and Associated Person REPRESENTATION OF PARTIES

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: James Kelly (Claimant) vs. UBS Securities LLC (Respondent) Case Number: 07-03439 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant James Kelly hereinafter referred to as "Claimant": Partha P. Chattoraj, Esq., Markowitz & Chattoraj, LLP, New York, NY. Respondent UBS Securities LLC, hereinafter referred to as

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Eric E. Hansen (Claimant) v. Ameriprise Financial Services, Inc. (Respondent) Case Number: 07-02319 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Eric E. Hansen hereinafter referred to as "Claimant": Nicole A. Rizzo, Esq., Bromberg & Sunstein, LLP., Boston, MA. Respondent Ameriprise Financial