AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant: Case Number: 07-01369 Morgan Stanley & Co. Incorporated {VMa Morgan Stanley DW Inc.) Name of the Respondent: Hearing Site: Houston, Texas James M. Hamricic Nature of the Dispute: Member v. Associated Person REPRESENTATION OF PARTIES Claimant, Morgan Stanley & Co. Incorporated (f/k/a Morgan Stanley DW Inc.), hereinafter referred to as "Claimant": Di

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Case Number: 07-00911 C. Eric Buonassisi Name of Respondents Hearing Site: San Francisco UBS Financial Services, Inc. Mitchell Scott Condit Ackerman Loren Shay Neumann Kathryn Nanette Stone Nature of the Dispute: Associated Person vs. Member and Associated Persons REPRESENTATION OF PARTIES Claimant 0. Eric Buonassisi hereinafter referred to as "Clai

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants J. Homer Daniels and Cynthia A. Daniels vs. Case Number: 05-05915 Hearing Site: Dallas, Texas Names of Respondents RBC Dain Rauscher, Inc., Moloney Securities Company, Inc., Birchtree Financial Services, Inc., Roan-Meyer Associates, LP, FAS Wealth Management Services, Inc., and Charies Dwain Davis, Jr. NATURE OF THE DISPUTE Customers v

Amended Stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-05081 David A. Ossenmacher Name of the Respondent Hearina Site: Tampa, Florida A.G. Edwards & Sons, Inc. Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES For David A. Ossenmacher, hereinafter refen'ed to as "Claimant": John R. Kiefner, Jr., Esq., Kiefner Law Offices, P.A., St. Petersburg,

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 07-00587 Citigroup Global Markets, Inc. Name of the Respondent Hearing Site: Nashville, Tennessee Jon S. Ladd Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Citigroup Global Markets, Inc., hereinafter referred to as "Claimant": W. Jerad Rissler, Esq., Kutak Rock LLP, Atianta, Georgia. For Jon S. Ladd,

Award FiNRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 07-01409 Joan Colman Eric Colman Names of the Respondents Hearing Site: Boca Raton. Florida Andrew J. Costa John Thomas Costa Financial Services, Inc. Nature of the Dispute: Customer vs. Associated Person and Member. REPRESENTATION OF PARTIES Joan Colman and Eric Colman. hereinafter collectively referred to as "Claimants", app

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Banc of America Investment Services, Inc. vs. Case Number: 07-01730 Hearing Site: Oklahoma City, Oklahoma Name of Respondent Gregory Burden NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES Banc of America Investment Services, Inc. ("Claimant") was represented by Gregory Simon, Esq., Kane & Fischer, LTD, Chicago, Illin

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: H & R Block Financial Advisors, Inc. (Claimant) vs. Jeffrey R. Bacon (Respondent) Case Number: 07-02850 Hearing Site: Boston, Massachusetts Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant H & R Block Financial Advisors, Inc., hereinafter referred to as "Claimant": Edward A. Walton, Esq., H & R Block Financial Advisors, Inc., Detroit, Ml.

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-03203 Citigroup Global Markets, Inc. ("Claimant") v. Jonathan Moebus ("Respondent") ATTORNEYS: For Citigroup Global Markets, Inc. appeared Justin Joseph D'Elia, Esq., Duane Morris, LLP, New York, NY. For Jonathan Moebus appeared Celia A. Barlow, Esq., Blackwell, Tarantine & Certo, P.C, Pittsburgh, PA. NATURE OF DISPUTE: Member v. Customer DATE FILED: November 9, 2007 CASE SUMMA

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-03204 Smith Barney, a division of Citigroup Global Markets, Inc. by and through its assignee DSP, LLC, ("Claimant") vs. Ronald Ash, ("Respondent") ATTORNEYS: For Claimant appeared Justin Joseph D'Elia, Esq., of the fimn Duane Morris LLP, New York. NY. Respondent appeared pro se, Tiburon, CA. NATURE OF DISPUTE: Member vs. Customer DATE FILED: November 9, 2007 CASE SUMMARY: Claim