Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-06421 Steven J. Dobel Name of the Respondent Hearina Site: New Orleans, Louisiana Citigroup Global Markets, Inc., f/k/a Salomon Smith Barney, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Steven J. Dobel, hereinafter referred to as "Claimant": Edward S. Zusman, Esq., Markun, Zusman and Compton LLP, Pa

Award FINRA Dispute Resolution In tne Matter of the Arbitration Between: Meivin Y.Q. Wong, Claimant v. Wedbush Morgan Securities Inc. and Richard K.F. Au, Respondents Case Number: 03-05404 Hearing Site: Honolulu, Hawaii Nature of the Dispute: Customer v. Member and A.*?sociated Person REPRESENTATION OF PARTIES For Claimant: Melvin Y.Q. Wong In Propria Persona Honolulu, Hawaii For Respondents: Gary Holmes, Esq. Wedbush Morgan Securities I

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 07-00797 Wachovia Securities, LLC Name of the Respondent Hearing Site: Atianta, Georgia Jay M. Rottner Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Wachovia Securities, LLC, hereinafter referred to as "Claimant": Ronald P. Kane, Esq. and David H. Smith, Esq., Kane & Fischer, Ltd., Chicago, Illinois.

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 07-00490 Sushila Patel Name of the Respondent Hearing Site: Atlanta, Georgia E *Trade Securities LLC Name of the Third Partv Respondent Naniben Patel Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Sushila Patel, hereinafter referred to as "Claimant": Viren R. Patel, Lawrenceville, Georgia. For E *Trade

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Stifel, Nicolaus & Company, Inc. vs. Name of Respondent Cari F. Hyde, Jr. Case Number: 07-01779 Hearing Site: Louisville, Kentucky NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES Stifel, Nicolaus & Company, Inc. ("Claimant") was represented by Forrest M. Smith, Esq., Stifel Nicolaus & Company, Inc., St. Louis, Mi

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-02263 Lorraine Ecker and Warren Ecker, ("Claimants") vs. Wachovia Securifies, LLC, ("Respondent") ATTORNEYS: Claimants appeared pro se, Delray Beach, FL. For Respondent appeared in-house counsel David J. Rice, Esq., Richmond, VA. NATURE OF DISPUTE: Customers vs. Member DATE FILED: Augu.st 3. 2007 CASE SUMMARY: Claimants alleged that Respondent negligently handled their account

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-02134 Robert L. Stern, Chapter 7 Trustee For Continental Broker-Dealer Corp ("Claimant") vs. Nicholas Joseph Cosmo ("Respondent") ATTORNEYS: For Claimant Robert L. Stern, Chapter 7 Trustee For Continental Broker-Dealer Corp appeared Nathan Schwed, Esq., of the law-firm of Zeichner, Ellman & Krause, LLP, New York, NY Respondent did not submit an answer to the Statement of Claim. NAT

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-01876 Robert B. Cash ("Claimant") vs. Banc of America Investment Services, Inc. ("Respondent") ATTORNEYS: For Robert B. Cash ("Claimant") appeared Laura I. Hillerich, Esq., of the law firm of Rendigs, Fry, Kiely & Dennis, LLP, Cincinatti, OH For Banc of America Investment Sen/ices, Inc. ("Respondent") appeared Richard A. Boucher, Esq., of the law firm of Boucher & Boucher Co., L.P.A.,

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Alison Ginn & Dr. Michael Ginn, JTWROS, Michael Ginn DDS PC Pension Plan dated 10/1/77 Michael Ginn Trustee, Michael Ginn Custodian for Eden Ginn UGMA/PA, Michael Ginn IRA, and Dr. Michael Ginn DDS PC Profit Sharing Plan dated 10/1/77 Michael Ginn Trustee (Claimants) vs. Morgan Stanley Dean Witter & Co., Dean Witter Reynolds, Inc., Morgan Stanley DW, Inc., and Marque Cohen (

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Wachovia Securifies, LLC (Claimant) vs. John J. Kennedy (Respondent) Case Number: 06-01892 Hearing Site: New York, New York Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Wachovia Securities, LLC, hereinafter referred to as "Claimant": Deborah Evans, Esq., Michaels, Ward & Rabinovitz, LLP, Boston, MA. Previously represented by Jennifer R