FiNRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-01824 Henry Feinstein and Augusta R. Feinstein, ("Claimants") vs. Banc of America Investment Sen/ices, Inc., ("Respondent") ATTORNEYS: Claimants appeared pro se. Green Valley, AZ. For Respondent appeared George F. Meierhofer, Esq., of the firm Becker & Poliakoff, LLP, New Yoric. NY. NATURE OF DISPUTE: Customers vs. Member DATE FILED: June 18, 2007 CASE SUMMARY: Claimants allege

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Cowen & Company, LLC (Claimant) vs. Paul F. Balser (Respondent) Case Number: 07-01665 Hearing Site: New York, New York Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Cowen & Company, LLC hereinaflier referred to as "Claimant": Lloyd 8. Clareman, Esq., Lloyd S. Clareman, P.C, New York, NY. Respondent Paul F. Balser hereinafter referred to

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Barbara King Family Trust, by Barbara King as Trustee, and Barbara King (Claimants) vs. UBS Paine Webber, Inc., David Kotowski, Dave Savetz, and Brian Golden (Respondents) Case Number: 03-09099 Hearing Site: New York, New York Nature of the Dispute: Initial Claim: Customers vs. Member and Associated Persons. Cross Claim: Member and Associated Persons vs. Associated Person.

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-01983 Michael D. Meyers and Mary C. Meyers ("Claimants") vs. H&R Block Financial Advisors, Inc. (OLDE Discount Corporation) and Jay Anthony Wireman ("Respondents") ATTORNEYS: Michael D. Meyers and Mary C. Meyers ("Claimants") appeared pro se, Columbus OH For H&R Block Financial Advisors, Inc. (OLDE Discount Corporation) and Jay Anthony Wireman ("Respondents") appeared Donald P. Wray, Jr.,

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Hong Ping Ng (Claimant) vs. Firstrade Securities, Inc. (Respondent) Case Number: 07-02297 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Hong Ping Ng hereinafter referred to as "Claimant": John Chou, New York, NY. Claimant previously appeared pro se. Respondent Firstrade Securities, Inc., hereinafter referred to a

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Robert Ferrucci (Claimant) vs. McLaughlin, Piven, Vogel Securities, Inc., and Lawrence T. Tulenko (Respondents) Case Number: 06-04051 Hearina Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Robert Ferrucci hereinafter referred to as "Claimant": Jenice L. Malecki, Esq., Malecki Law, New York, NY. R

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Goldsmith & Harris Capital Appreciation LLC (Claimant) vs. Pali Capital, Inc., and Richard Anthony (Respondents) Case Number: 07-00747 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Goldsmith & Harris Capital Appreciation LLC, hereinafter referred to as "Claimant": Evan L. Gordon, Esq., Attor

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Heinz Haenggeli (Claimant) vs. Bathgate Capital Partners, LLC, Steven C. Singer, Bathgate Partners LLC, Steven M. Bathgate, Vicki D. Barone, Richard T. Huebner and NF Clearing, Inc., formerly known as FISERV Securities, Inc. (Respondents) Case Number: 05-06516 Hearing Site: New York. New York Nature of the Dispute: Customer vs. Member, Non-Member and Associated Persons.

Award FINRA Dispute Resolution In the Matter of the Arbitrafion Between: Names of the Claimants Case Number: 06-05049 Professional Investment Group, Inc. Stephen Rupp Names of the Respondents Hearing Site: Boca Raton, Florida Viewtrade Securities, Inc. f/k/a Viewtrade Securifies LLC Sean Callahan Brian Herman Jay Noiman Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Professional In

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 07-00409 Ferdinand Tranfo Letizia Tranfo Names of the Respondents Hearing Site: Washington, D.C. Westrock Advisors, Inc. Jeffrey Shuster Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Ferdinand Tranfo ("F. Tranfo") and Letizia Tranfo ("L. Tranfo"), hereinafter collectively referred