Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Timothy Anderson, Steven Barlow, James Bishop, Jr., Kevin Coleman, Andrea Costello, Lawrence DeMaria, Kevin DeThomas, Jason Gammel, Nicholas P. Heymann, Bryan Keane, Gregg Kennedy, Mark Kennedy, Richard Klugman, Mark Lipacis, James Lucier, Jr., John McMillin, III, Robert Morrisey, Matthew Park, Howard Penney, James Reddington, David Shove, Katherine Styponias, Lynne Theurer, and John C

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Christopher Fulco (Claimant) vs. Bear, Stearns & Co., Inc. (Respondent) Case Number: 05-05965 Hearina Site: New York, New York Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Christopher Fulco hereinafter referred to as "Claimant": Ross B. Intelisano, Esq., Rich & Intelisano, LLP, New York, NY. Respondent Bear Stears & Co., Inc., hereinaf

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Banc of America Investment Services, Inc. vs. Case Number: 06-02555 Hearing Site: Dallas, Texas Name of Respondent Mark Del Toro NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES Banc of America Investment Services, Inc. ("Claimant") was represented by Gregory Simon, Esq., Kane & Fischer, Ltd., Chicago, Illinois. M

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Robert Hoffman vs. Names of Respondents Legacy Trading Company, LLC, Mark Uselton, and Stephen Boruchin Case Number: 06-04378 Hearing Site: Oklahoma City, Oklahoma NATURE OF THE DISPUTE Associated Person vs. Member and Associated Persons REPRESENTATION OF PARTIES Robert Hoffman ("Claimant") was represented by David A. Zisser, Esq.. Isaacson

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Patrick Lowe and Chariotte Lowe, Claimants v. Citigroup Global Maricets Inc. f/k/a Salomon Smith Barney Inc., Respondent Case Number: 06-04380 Hearina Site: Los Angeles, California Nature of the Dispute: Associated Persons v. Member REPRESENTATION OF PARTIES For Claimants: Neil A. Sussman, Esq. Sussman & Frankel, LLP New York, New York John W. Martin, Esq. Los Angel

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Genevieve Dusing, Claimant v. WM Financial Services, Inc. and Darren R. Tolan, Respondents Case Number. 04-08780 Hearina Site: Los Angeles, California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Wild Chang, Esq. Wild Chang & Chang Rowland Heights, California For Respondent WM Financial Services, Inc.: Grego

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Cynthia E. Hober, Bernard H. Hober, Cynthia E. Hober Cust Kendall Ann Hober, Cynthia E. Hober Cust John Bernard Hober, Claimants v. Merrill Lynch, Pierce, Fenner & Smith incorporated. Respondent Case Number: 06-03869 Hearina Site: Los Angeles, California Nature of the Dispute: Customers v. Member REPRESENTATION OF PARTIES For Claimants: Victor G. Zilinskas, Esq. Eric A. Woo

Award FiNRA Dispute Resolution In the Matter of the Arbitration Between: Debra C. Cascardo (Claimant) vs. A.G. Edwards & Sons, Inc., The Condon Group. Thomas J. Condon. Joseph McNally. Stephen Condon. Neal Baumann. Robert L. Bagby. Brian UndenA/ood. Padraic Murray, and Kevin Hoffman (Respondents) Case Number: 06-03193 Hearina Site: New York. New York Nature of the Dispute: Customer vs. Member, Assoicated Persons, and Non-Member. REPRESENTATION OF PARTIE

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: L. H. Ross & Company, Inc. (Claimant) vs. James Pecoraro, Nigel James, Davis Lawrence, Kendell James, Michael Joaquin, Donnell Allen, Jay Capodiferro, Jeffrey Bello, Gregory Fils-Aime, Safdar Mursalin, James Carr, and Samuel Roslow (Respondents) vs. Frank Michelin (Third-Party Respondent) Case Number: 05-00087 Hearina Site: New York, New York Nature of the Dispute (Initial Claim)

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-03661 Victor Divietro (consolidated with 06-03674) Name of the Respondent Hearing Site: Tampa, Florida Merrill Lynch, Pierce, Fenner & Smith Incorporated In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-03674 Merrill Lynch, Pierce, Fenner & Smith Incorporated (consolidated with 06-03661) Names of the Respond