Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Elizabeth Bondoc. Claimant v. Wachovia Securities, LLC and Stephen W. Wilson, Respondents Case Number: 07-00417 Hearina Site: Los Angeles. California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: For Respondent Wachovia Securities. LLC: For Respondent Stephen W. Wilson: Paul Thomas. Esq. Neda Ataie, Esq.

Award FINRA Dispute Resolution In the Matter of the AriDitration Between: Kathryn A. Heily, Executor of the Estate of Vera L. Freeberg. Claimant v. Merrill Lynch. Pierce. Fenner & Smith Incorporated. Respondent Case Number: 06-03597 Hearina Site: San Francisco, California Nature of the Dispute: Customer v. Member REPRESENTATION OF PARTIES For Claimant: Jay William Jacobus. Esq. Law Office of Jay William Jacobus, Esq. Walnut Creek, California

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Banc of America Investment Services, Inc. (Claimant) vs. James V. Demuynck (Respondent) Case Number: 06-04911 Hearing Site: Buffalo, New York Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Banc of America Investment Services, Inc., hereinafter referred to as "Claimant": Diane C Fischer, Esq., and Greg Simon, Esq., Kane & Fischer, Ltd.,

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Timothy Cappadona (Claimant) vs. Citigroup Global Markets, Inc. (Respondent) Case Number: 06-00120 Hearina Site: Newark, New Jersey Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Timothy Cappadona hereinafter referred to as "Claimant": Samuel L. Davis, Esq., Davis, Saperstein & Salomon, P.C, Teaneck, NJ., and Andrew M. Moskowitz, Esq., D

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-01899 The Estate of Alastair John Stair, ("Claimant") vs. PMG Securities Corporation and Matthew J. Ryan, ("Respondents") ATTORNEYS: For Clainiant appeared Peter Alpi, Esq.. Sandy Hook, CT. Respondent Matthew J. Ryan appeared pro se, Cropseyville, NY, For Respondent PMG Securities Corporation appeared Elizabeth M. Hill. Esq., of the firm Ulmer & Berne, LLP. NATURE OF DISPUTE: Custo

FiNRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-01607 Arena Capital Advisors, LLC, f Claimant") vs. CopperRoad Corporation, ("Respondent") ATTORNEYS: For Ciaimant appeared in-house counsel, Davkj Bass, Raleigh, NC. For Respondent appeared in-house counsel, Reginald Sanders Bruce, Raleigh, NC. NATURE OF DISPUTE: Member vs. Customer DATE FILED: May 20. 2007 CASE SUMMARY: Claimant alleged that Respondent breached an investment banking

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Joan L. Lair (Claimant) vs. Neuberger Berman LLC (Respondent) Case Number: 06-05211 Hearing Site: Newark. New Jersey Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Joan L. Lair, hereinafter referred to as "Claimant": Mitchell N. Cobert, Esq., Mitchell N. Cobert, Attorney at Law, Morristown, NJ. Previously appeared pro se. Respondent Neuberger Ber

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-01270 Banc of America Investment Services, Inc., ("Claimant") vs. Bayan Airachid, ("Respondent") ATTORNEYS: For Ciaimant appeared Deborah A. IVIark, Esq., of tlie firm Kane & Fischer, Ltd., Chicago, IL. Respondent did not submit an Answer to the Statement of Claim. NATURE OF DISPUTE: l\/1ember v. Associated Person DATE FILED: April 20, 2007 CASE SUIVIMARY: Claimant alleged that

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: New Castle Financial Services LLC, Claimant v. Joel Zubaid, Respondent Case Number: 07-01413 Hearinq Site: Los Anceles. California Nature of the Dispute: Member v. Customer REPRESENTATION OF PARTIES For Claimant: Brett D. Zinner, Esq. New Castie Financial Services LLC Melville, New York John J. Gulino, Esq. Shuff Law Firm Santa Ana, California For Respondent: No

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Wachovia Securities, LLC, Claimant v. Walter P. Glass, Respondent Case Number: 05-03927 Hearinq Site: Los Angeles, California Nature of the Dispute: Member v. Associated Person REPRESENTATION OF PARTIES For Claimant: Timothy N. Will, Esq. Albert & Will, LLP Torrance, California For Respondent: Stephen M. Harris, Esq. Knapp Peterson & Clarke Glendale, Cali