AWARD FINRA Dispute Resolution In the Matter of the Art)*itration Between: Name of Claimant Alan Stroup vs. Case Number: 07-03122 Hearing Site: Detroit, Michigan Name of Respondents GunnAllen Financial, Inc., Frank J. Bluestein, Questar Capital Corporation, Maximum Financial Group, Inc., and F.F., Inc. and Name of Cross-Claimant GunnAllen Financial, Inc. vs. Name of Cross-Responderrt Questar Capital Corporation and

AWARD FiNRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Renwood Erickson vs. Case Number: 08-03602 Hearing Site: Minneapolis. Minnesota Name of Respondent Charles Schwab & Company, Inc. 'g DISPUTE Customer vs. Member REPRESENTATION QF PARTIES Renwood Erickson ("Claimant") was represented by Brian Levin, Esq., Dimond Kaplan & Rothstein. PA, Miami, Florida. Charies Schwab & Company, Inc. ("Responden

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Mark Leventhal, Jelco. Inc., John E. Ligums, Sr., and John E. Ligums, Jr. (Claimants) vs. Penson Financial Services, Inc., Empire Financial Group, Inc., Jesup & Lamont Securities Corp., and Donald A. Wojnowski. Jr. (Respondents) Case Number: 08-00836 Hearing Site: Boston, Massachusetts Nature of the Dispute: Customers vs. Members and Associated Person. REPRESENTATION OF PARTIES

AWARD FINRA DISPUTE RESOLUTION CASE: 09-04953 Royal Alliance Associates. Inc (Claimant) vs. Jacqueline L. Hanson-Shea tResponder^tl REPRESENTATION OF PARTIES: For Claimant appeared Barry R. Temkin. Esq.. Mound. Cotton, Wollan & Greengrass, New York, NY. Respondent appeared pro se, Leesburg, VA. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: August 14, 2009 CASE SUMMARY; Claimant asserted the following causes of action: breach of contract

AWARD FINRA DISPUTE RESOLUTION CASE: 09-04708 Robert E. Dunn (Claimant) vs. Stephen E. Lomsdalen and LPL Financial Corporation (Respondents) REPRESENTATION OF PARTIES: Claimant appeared pro se, Prescott, AZ. For Respondents appeared Kirsten Patzer, Esq., LPL Financial Corporation. Boston. MA. NATURE OF DISPUTE: Customer v. Associated Person and Member DATE FILED: August 6. 2009 CASE SUMMARY: Claimant alleged that Respondents did not exercise due dili

AWARD FINRA DISPUTE RESOLUTION CASE: 09-04432 FSC Securities Corp. (Claimant) vs. Jeffrey Martin Winter (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared Louis D. Tambaro. Esq.. Marks & Klein. LLP, Red Bank, NJ. Respondent appeared pro se, Waterford, Ml. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: July 27, 2009 CASE SUMMARY; Claimant asserted the following causes of action: breach of contract and unjust enrichment. Clai

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Todd F. Silbergeld (Claimant) vs. Brean Murray, Carret & Co., LLC (Respondent) Case Number: 09-01788 Hearing Site: New Yorl^, New York Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Todd F. Silbergeld hereinafter referred to as "Claimant" appeared pro se. Respondent Brean Murray, Carret & Co., LLC. hereinafter referred to as "Respondent":

Award FINRA Dispute Resolution In the Matter of the AriDitration Between: Credit Suisse Securities (USA) LLC (Claimant) vs. Vita Health of America, LLC and Ronald Feldstein (Respondents) Case Number: 08-04143 Hearing Site: New York, New York Nature of the Dispute: Member vs. Customer and Non-Member. REPRESENTATION OF PARTIES Claimant Credit Suisse Securities (USA) LLC, hereinafter referred to as "Claimant": Mary Gail Gearns. Esq., Bingham McCutchen L

Award FINRA Dispute Resolution In the Matter of the Arbitration Between; William H. Agnew and Bemadine R. Agnew (Claimants) vs. E*Trade Securities, LLC (Respondent) Case Number: 08-00554 Hearing Site: Philadelphia. Pennsylvania Nature of the Dispute: Customers vs. Member. REPRESENTATION OF PARTIES Claimants William H. Agnew ("W. Agnew") and Bemadine R. Agnew ("B. Agnew"), hereinafter collectively referred to as "Claimants": William H. Agnew. Resp

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Carol L. Belinkie (Claimant) vs. Thomas Weston Hall (Respondent) Case Number: 09-01893 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Associated Person. REPRESENTATION OF PARTIES Claimant Carol L. Belinkie hereinafter referred to as "Claimant" appeared pro se. Respondent Thomas Weston Hill hereinafter referred to as "Respondent"; Steven G. Leventhal, Esq.,