Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Douglas W. Habryl .Claimant vs. H < S R Block Financial Advisors, Inc., Respondent H & R Block Financial Advisors, Inc., Counter-Claimant vs. Douglas W. Habryl, Counter-Respondent Case Number: 07-00951 Hearing Site: Houston, Texas, Nature of the Dispute: Associated Person vs. Member Member vs. Associated Person REPRESENTATION OF PARTIES Claimant, Douglas W. Habryl,

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Lynn 0. Hilliard vs. Case Number: 07-01931 Hearing Site: Charieston, West Virginia Names of Respondents Wachovia Securities, LLC and Stuart L. May NATURE OF THE DISPUTE Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Lynn O. Hilliard ("Claimant") was represented by Ryan Shaw, Hilliard, Ohio. Wachovia Securities, LLC ("Wac

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Carol and Richard IVIarubio vs. Case Number: 06-05209 Hearing Site: Chicago, Illinois Names of Respondents MetLife Securities, Inc., James D. Sims, and Robert Thurlby NATURE OF THE DISPUTE Customers vs. Member and Associated Persons REPRESENTATION OF PARTIES Carol and Richard Marubio ("Claimants") were represented by Mark P. Loftus, Esq.,

Stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Mark Steven Mills, Claimant v. Southwest Texas Capital, L.L.C, and Charles Lee Gallamore, Respondents Southwest Texas Capital, L.L.C, and Charles Lee Gallamore, Counter-Claimants v. Mark Steven Mills, Counter-Respondent Case Number: 07-01075 Hearing Site: Dallas, Texas Nature of the Dispute: Associated Person vs. Member and Associated Person Member and Associated

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 07-00542 Andrew E. Haas Name of the Respondent Hearinc Site: Los Angeles, California Bear Sterns & Co. Inc. Nature of the Dispute: Associated Person vs. Member REPRESENTATION OF PARTIES Claimant Andrew E. Haas, hereinafter referred to as "Claimant": Michael Blumenfeld, Esq., Sylvia M. Scott, Esq., and Ashley Dawkins Hunt, Esq., Freeman, Fre

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants Case Number: 07-00258 Brian G. Herr, Individually And On Behalf of the Brian G. Herr Rollover IRA; Sheryl L. Herr, Individually And On Behalf of the Sheryl L. Herr Rollover IRA Name of the Respondents Hearing Site: Reno, Nevada Associated Securities Corp. Patricia Meidell Laif Meidell Nature of the Dispute: Customers v. Member and As

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number. 07-01596 Banc of America Investment Services, Inc. Name of the Respondent Hearing Site: Dallas, Texas Brent Lemons Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant Banc of America Investment Services, Inc., hereinafter referred to as "Claimant": Diane C. Fischer, Esq., Ronald Kane, Esq., and David Smith

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants: Case Number: 02-00787 Ronald D. Hershey and Kara L. Hershey Names of the Respondents: Hearing Site: Los Angeles, California Merrill Lynch, Pierce, Fenner & Smith Incorporated and Phil Hammitt Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES Claimants, Ronald D. Hershey and Kara L. Hershey, hereinafter collectivel

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 07-01110 Joseph Martelli Respondents Hearing Site: Los Anceles. Califomia The Investment Center, Inc. Granite Associates, Inc. En/in Philips Ralph J. Devito Douglas A. Wright Wayne F. Ford Nicholas A. Natale Counter-Claimant Ervin Phillips Counter-Respondent Joseph Martelli Cross-Claimants The Investment Center Ralph

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 07-03156 Wachovia Securities, LLC Name of the Respondent Hearinc Site: Baltimore, Maryland Joel Small Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES For Wachovia Securities, LLC, hereinafter referred to as "Claimant": Renan I. Sugarman, Esq., Renan Sugarman, P.C, Chicago, Illinois. Joel Small, hereinafter