Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Anthony T. Petchalonis (Claimant) vs. Memll Lynch, Pierce, Fenner & Smith, Incorporated, Citigroup Global Markets, Inc., f/k/a Salomon Smith Barney, Inc., Robert J. Vinskofski, Jr., Scott Hartshorn, and Gary Crisci (Respondents) Case Number: 05-04702 Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Customer vs. Members and Associated Persons. REPRESENTATION OF PARTIE

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Douglas Clayton Ashton and Mary Ann White (Claimants) vs. Urchin Capital Partners, LLC, and Peter Raad Fader (Respondents) Case Number: 06-04609 Hearing Site: Boston, Massachusetts Nature of the Dispute: Associate Persons vs. Member Firm and Associated Person. REPRESENTATION OF PARTIES Claimants Douglas Clayton Ashton ("Ashton") and Mary Ann White ("White") hereinafter collecti

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Mark J. Mothner (Claimant) v. Merrill Lynch, Pierce, Fenner & Smith, Incorporated (Respondent) Case Number: 07-00996 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Mark J. Mothner hereinafter referred to as "Claimant": Debora A. Pitman, Esq., Wechsler & Cohen, LLP, New York, NY. Respondent

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Clainnant / Counter-Respondent Banc of America Investment Services, Inc. vs. Case Number: 06-03280 Hearing Site: Oklahoma City, Oklahoma Name of Resoondent / Counter-Claimant Billy Jack Cowan NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES Banc of America Investment Services, Inc. ("BAI") was represented by Ronald Kane, Esq.,

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Deborah Comer, Claimant v. Christopher Lyons and Merrill Lynch, Pierce, Fenner & Smith Incorporated, Respondents Case Number: 06-04751 Hearing Site: Dallas, Texas Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Deborah Comer ProSe Dallas, Texas For Respondents: Alan Rafterman, Esq. Merrill Lynch, Pierce, Fe

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Mindy Bokser, Claimant v. Kiriin Securities, Inc., Jay Frost, David Owen Lindner, Andrew Joseph Israel and Anthony Joseph Kirincic, Respondents Case Number: 06-04786 Hearing Site: San Francisco, California Nature of the Dispute: Customer v. Member and Associated Persons REPRESENTATION OF PARTIES For Claimant: Timothy A. Canning, Esq. Richard Sacks Law Offices of Timothy

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 05-05589 Thomas L. Hodges Names of the Respondents Hearing Site: Chariotte, NC Citigroup Global Markets, Inc., f/k/a Salomon Smith Barney, Inc. Christopher Kelts Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Thomas L. Hodges, hereinafter referred to as "Claimant", was represented by Dan Druz

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Deirdre North, individually, Deirdre North, as Trustee FBO Blake A. Riddell Education Trust, and Deirdre North, as Trustee FBO Blair A. Riddell Education Trust, Claimants v. RBC Dain Rauscher Inc. and John Rush Vann, Jr., Respondents Case Number: 06-03506 Hearino Site: Dallas, Texas Nature of the Dispute: Customers vs. Member and Associated Person REPRESENTATION OF PARTI

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Big Apple Fuel, Inc. (Claimant) vs. Penson Financial Services, Inc. (Respondent) Case Number: 07-01034 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Big Apple Fuel, Inc., hereinafter referred to as "Claimant": Benjamin Lapin, Stock Market Recovery Consultants, Inc., Brooklyn, NY. Respondent Penson Financial Servi

stipulated Award FINRA Dispute Resoiution In the Matter of the Arbitration Between: Independent Financial Marketing Group, Inc., IFMG Securities, IFS Agencies, Inc. (Claimants) vs. Michael D. Woodman (Respondent) Case Number: 07-01622 Hearina Site: Boston, Massachusetts Nature of the Dispute: Member and Non-Members vs. Associated Person. REPRESENTATION OF PARTIES Claimants, Independent Financial Marketing Group, Inc., ("Independent Financial"), IFMG