Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Kayvan Karoon (Claimant) vs. Joseph Fitzgerald (Respondent) Case Number: 07-01950 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Associated Person. REPRESENTATION OF PARTIES Claimant Kayvan Karoon hereinafter referred to as "Claimant": Paul A. Lieberman, Esq., Law Office of Paul A. Lieberman, MIddletown, NJ. Respondent Joseph Fitzgerald hereinafte

Amended Stipulated Award FINRA Dispute Resolution In the Mafter of the Arbitration Between: Lewis E. Worms, individually and as Sole Trustee for the Lewis E. and Corrine I. Worms Trust, Claimants v. J.P. Turner & Company, L.L.C, Efthimlos G. Petrou a/k/a Tim Petrou, and Eric C. Gretchyn, Respondents Case Number: 05-02000 Hearing Site: Los Angeles, California Nature of the Dispute: Customers vs. Member and Associated Persons REPRESENTATION OF PARTIES

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: William R. Erickson, Claimant v. Merrill Lynch, Pierce, Fenner & Smith Incorporated a/k/a Merrill Lynch & Co. and David H. Komansky, Respondents Case Number: 01-02943 Hearing Site: Los Anoeles. California Nature of the Dispute: Associated Person v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Mary B. Erickson, Esq. Law Offices of Mary B. Erickson Lag

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Wells Fargo Investments, LLC, Claimant v. Jeffrey J. Arburn, Respondent and Jeffrey J. Arburn, Counter-Claimant v. Wells Fargo Investments, LLC, Counter- Respondent Case Number: 06-04188 Hearina Site: San Francisco, California Nature of the Dispute: Member v. Associated Person Associated Person v. Member REPRESENTATION OF PARTIES For Claimant/Counter-Responde

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Wachovia Securities, LLC, Claimant v. Larry R. Margozewitz, Respondent Case Number: 06-04739 Hearina Site: Houston, Texas Nature of the Dispute: Member v. Associated Person REPRESENTATION OF PARTIES For Claimant: Renan Sugarman, Esq. Douglas D. Callaway, Esq. Wachovia Securities, LLC Richmond, Virginia For Respondent: Larry R. Margozewitz In Pro Se San Antonio,

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Banc of America Investment Services, Inc., Claimant v. Teny Joe Vail, Respondent Case Number: 07-01520 Hearina Site: Pheonix. Arizona Nature of the Dispute: Member v. Associated Person REPRESENTATION OF PARTIES For Claimant: Ronald P. Kane Kane & Fischer, Ltd. Chicago, llinois For Respondent: Terry Joe Vail In Propria Persona Phoenix, Arizona CASE INFORMATION

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Wachovia Securities, LLC, Claimant v. Kenneth R. Bott. Respondent Kenneth R. Bott, Counter-Claimant v. Wachovia Securities, LLC, Counter-Respondent Case Number: 06-04113 Hearing Site: Las Vegas, Nevada Nature of the Dispute: Member v. Associated Person Associated Person v. Member REPRESENTATION OF PARTIES For Claimant: Douglas D. Callaway, Esq. Wachovia Securities, LLC

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-00710 Cliff Martin Naparsteck ("Claimant") vs. John Anthony Schoppe and Ameriprise Financial Services, Inc. (Respondents) ATTORNEYS: Claimant Cliff Martin Naparsteck ("Claimant") appeared pro se, Wellington, FL For Respondents John Anthony Schoppe and Ameriprise Financial Services, Inc. ("Respondents") appeared Neil P. Murphy, Esq., of the law-firm of Murphy & Anderson P.A., Jacksonvil

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 06-04356 MCM Advisors Corp. Dwight O. Campbell Donald M. Kent Name of the Respondent Hearing Site: Boca Raton, Florida Ernest G. McMullen Nature of the Dispute: Non-Member and Associated Person vs. Associated Person. REPRESENTATION OF PARTIES For MCM Advisors Corp. ("MCM"), Dwight O. Campbell ("Campbell") and Donald M. Kent ("Kent

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Basic Investors, Inc. (Claimant) vs. Glen Meyer (Respondent) Case Number: 06-04595 Hearina Site: New York, New York Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Basic Investors. Inc.. hereinafter referred to as "Claimant": Eric S. Hutner, Esq., Hutner Klarish LLP. New York. NY. Respondent Glen Meyer hereinafter referred to as "Responde