FINRA DISPUTE RESOLUTION AWARD FfNRA DISPUTE RESOLUTION CASE: 07-01244 Harvey Champtin and Ashley Champtin, CCIaimants") vs. Wachovia Securities, LLC, ("Respondent") ATTORNEYS: For Claimants appeared Greg P. Regler. Esq., of the firm Jackson, DeMarco, Tidus & Peckenpaugh, Westlake Village, CA For Respondent appeared in-house counsel Ryan P. Smith, Esq., Richmond, VA. NATURE OF DISPUTE: Customers vs. Member DATE FILED: April 13. 2007 CASE SUM

FiNRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-01404 UBS Financial Services, Inc., ("Claimant") vs. Steven D. Stroud, ("Respondent") ATTORNEYS: " ^~"~ For Claimant appeared Jamie B. Kennedy, Esq., of the firni Riker, Danzig, Scherer, Hyland & Perretti LLP, Morristown, NJ. Respondent appeared pro se, Galveston, TX. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: May 2, 2007 CASE SUMMARY: Claimant alleged that Responde

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Ralph L. Falls (Claimant) vs. Leerink Swann & Company (Respondent) Case Number: 07-00943 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Ralph L. Falls hereinafter referred to as "Claimant": Stewart D. Aaron, Esq., Arnold & Porter, LLP, New York, NY. Respondent Leerink Swann & Company hereinafter referred

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Norman Miller, Pauline Miller, The Miller Revocable Trust, The Miller Charitable Remainder Trust, and The Miller Family Foundation, Claimants v. B.B, Graham & Company, Inc., Bruce E. Graham, and John A. Walthall, Respondents Case Number: 06-03917 Hearing Site: Los Angeles. California Nature of the Dispute: Customers v. Member and Associated Persons REPRESENTATION OF PARTIES For

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Mario Rofer and Ann Rofer, individually and as beneficiaries of their respective IRAs, Claimants v. A.G. Edwards & Sons, Inc. and Anthony Russo, Respondents Case Number: 05-05647 Hearing Site: Los Angeles, California Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES For Claimants: Jonathan W. Evans, Esq. Jonathan W. Evans & Associates

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: James P. Murray, Claimant v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney Inc., Respondent Case Number: 04-08605 Hearing Site: Los Angeles, California Nature of the Dispute: Associated Person v. Member REPRESENTATION OF PARTIES For Claimant: Michael Blumenfeld, Esq. Catherine Rhodes, Esq. Freeman, Freeman & Smiley Los Angeles, California For Respondent

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Richard L. Lackey and Diane Lackey, Individually and as Trustees of The Lackey Family Trust vs. Case Number: 05-02643 Hearing Site: Dallas, Texas Names of Respondents National Financial Services, LLC, Casimir Capital, L.P. and James Ahern NATURE OF THE DISPUTE Customers vs. Members and Associated Person REPRESENTATION OF PARTIES Ri

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Miriam Nigohosian (Claimant) vs. Merrill Lynch Pierce Fenner & Smith (Respondent) Case Number: 06-02349 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Miriam Nigohosian hereinafter referred to as "Claimant": Jennifer M. Jordan, Esq., Conway & Conway, New York, NY. Respondent Merrill Lynch Pierce Fenner & Smith her

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Elizabeth Greer (Claimant) vs. Judith Cassidy and New England Financial, Inc. (Respondents) Case Number: 06-03501 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Associated Person and Member. REPRESENTATION OF PARTIES Claimant Elizabeth Greer hereinafter referred to as "Claimant": Romaine L. Gardner, Esq., Lincoln Square Legal Services, Inc., NewYork, NY.

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Louie Kau Wang and June Ting Wang (Claimants) vs. Merrill Lynch, Pierce, Fenner & Smith, Inc., and Howard Jack Moses (Respondents) Case Number: 06-02594 Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Customers vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Louie Kau Wang ("L. Wang") and June Ting Wang ("J. Wang"), hereinafter collectively