AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant: Case Number: 03-03099 Steven Vender Name of the Respondent: Hearino Site: Los Angeles, California Lehman Brothers Inc. Nature of the Dispute: Customer v. Member REPRESENTATION OF PARTIES Claimant, Steven Vender, hereinafter referred to as "Claimant": William F. Davis, Esq., Law Offices of William F. Davis, Pacific Palisades, California Respondent,

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Michael H. Ziegelbaum (Claimant) vs. MarketAxess Corporation (Respondent) Case Number: 07-00131 Hearing Site: New York, New York consolidated with Michael H. Ziegelbaum (Claimant) vs. MarketAxess Holdings, Inc. (Respondent) Case Number: 07-01247 Hearing Site: New York, New York Nature of the Dispute: Case #07-00131: Associated Person vs. Member. Case #07-01247: Associated P

Award FINRA Dispute Resolution in ihe Matter of the Arbitration Between: Stuart Shainlieit (Claimant) vs. Herbert W. Mahler, Mahler & Emerson, Inc., and Brean Murray, Garret & Co., LLC (Respondents) Case Number 07-02933 Hearing Site: Newark, New Jersey Nature of the Dispute: Customer vs. Associated Person and Members. REPRESENTATION OF PARTIES Claimant Stuart Shainheit hereinafter referred to as "Claimant": Paul A. Douglas, Esq., Scarsdale, NY.

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: George D. Busse and Yvonne M. Busse . George D. Busse Tmst, Claimants vs. D.A. Davidson & Co., Respondent Case Number: 05-06525 Hearina Site: Cheyenne. Wyoming Nature of the Dispute: Customers vs. Member REPRESENTATION OF PARTIES Claimants George D. Busse and Yvonne M. Busse, George D. Busse Tmst, hereinafter collectively referred to as "Claimants": Lawrence L. Klayman, Esq., K

STIPULATED AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant/Counter-Resoondent Banc of America Investment Services, Inc. vs. Case Number: 07-01940 Hearing Site: Chicago, Illinois Name of Resoondent/Counter-Claimant Kenneth D. Freedman NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES Banc of America Investment Services, Inc. ("Claimant" of "BAI") was represented by R

Award FiNRA Dispute Resolution In the Matter of the Arbitration Between: Fredericl< A. and Suzanne E. Lovejoy (Claimants) vs. E*Trade Securities, Inc. and Stephen Tachiera (Respondents) Case Number: 07-00262 Hearing Site: Hartford, Connecticut Nature of the Dispute: Customers vs. l\/lember and Associated Person. REPRESENTATION OF PARTIES Claimants Frederick A. ("F. Lovejoy") and Suzanne E. Lovejoy ("S. Lovejoy"), hereinafter referred to as "Claimant

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number. 05-04218 Citicorp Financial Services Corporation Names of the Respondents Hearing Site: San Juan, Puerto Rico UBS Intemational, Inc. Luciano Porzio Ignacio Altuve Rodrigo Vila Nature of the Dispute: Member v. Member and Associated Person. REPRESENTATION OF PARTIES For Citicorp Financial Services Corporation ("Citicorp"), hereinafter

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Parker Drilling Company and Thomas M. Junk, as Trustee of the Robert L. Parker Sr. and Catherine M. Parker Family Trust vs. Case Number: 07-01052 Hearing Site: Oklahoma City, Oklahoma Name of Respondent Charies Bigbie NATURE OF THE DISPUTE Customers vs. Associated Person REPRESENTATION OF PARTIES Parker Drilling Company and Thomas M. Junk,

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants Judy Schulman and Murray Bieda Name of the Respondents Brookstreet Securities Corporation National Financial Services, LLC Jason Woessner Jason Zwibel Stanley C. Brooks individually and as Trustee for the Brooks Family Trust Scott S. Brooks Mark A. Atchity Julie Mains Case Number: 07-01346 Hearing Site: Boca Raton, Florida

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Timothy Lenzi and Mary Lenzi vs. Case Number: 06-05045 Hearing Site: Southfield, Michigan Names of Respondents Merrill Lynch Life Agency, Inc., Merrill Lynch, and Christopher J. Dowd NATURE OF THE DISPUTE Customers vs. Non-Members and Associated Person REPRESENTATION OF PARTIES Timothy Lenzi and Mary Lenzi ("Claimants") were represented by She