FINRA DISPUTE RESOLUTION STIPULATED AWARD FINRA DISPUTE RESOLUTION CASE: 08-03497 Kevin M. Kloski ("Claimant") vs. Merrill Lynch, Pierce, Fenner & Smith Incorporated ("Respondent") ATTORNEYS: Claimant appeared Pro se, Newington, CT. For Merrill Lynch, Pierce, Fenner & Smith Incorporated appeared Christin M. Choi, Esq., Rubin, Fortunate & Harbison. P.C, Paoli, PA. NATURE OF DISPUTE: Associated Person v. Member DATE FILED: September 29, 2008 C

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: James C. Martin, an adult individual and as Executor of the Estate of Barbara Martin (Claimants) vs. Ronald Roy Wetzel, Jr., Solomon Smith Barney and Legg Mason Wood Walker, Incorporated (Respondents) Case Number: 07-00977 Hearina Site: Philadelphia, Pennsylvania Nature of the Dispute: Customers vs. Associated Person and Members. REPRESENTATION OF PARTIES Claimants James C. Mar

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-03157 William E. Tucker ("Claimant") vs. Diesel Energy International, L.LC. ("Respondent") ATTORNEYS: Claimant appeared Pro se, Atlanta, GA. Respondent Diesel Energy International, L.LC. did not submit an Answer to the Statement of Claim. NATURE OF DISPUTE: Associated Person v. Member DATE FILED: Septembers. 2008 CASE SUMMARY: Claimant is seeking expungement of his employment histo

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Kiriin Securities, Inc. (Claimant) vs. Edward Deicke, Frank Nargentino, Joseph DiSanza, Matthew Senicola, Marcello Lattuca, Edward Wells, and GunnAllen Financial (Respondents) vs. David O. Lindner and Anthony Kirincic (Third Party Respondents) Case Number: 05-03716 Hearing Site: New Yori^, New York Initial Claim Nature of the Dispute: Member vs. Associated Persons and Member. Third

STIPULATED AWARD FiNRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Patricia Tumer vs. Case Number: 08-01574 Hearing Site: Kansas City, Missouri Names of Respondents E*Trade Securities, LLC and Glenn Graepel NATURE OF THE DISPUTE Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Patricia Tumer ("Claimant") was represented by Jason M. Kueser. Esq., The Nygaard Law Firm, Leawood, Kansa

STIPULATED AWARD FINRA Dispute Resolution In the Matter of the Arisitration Between: Name of Claimant Ralph E. MacNaughton vs. Names of Respondents Capital Financial Sen/ices, Inc., Dayton Lewis Ault, and John R. Carison Case Number: 08-00391 IHearing Site: Kansas City, Missouri NATURE OF THE DISPUTE Customer vs. Member and Associated Persons REPRgSENTATIQN OF PARTIES Ralph E. MacNaughton ("Claimanr) was represented by John J. Mi

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 08-01348 Tiffany Rayburn Godfrey Revocable Trust, Tiffany Rayburn Rabom, trustee Names of the Respondents Hearino Site: Boca Raton, Florida SunTrust investment Services, Inc. SunTrust Bank Nature of the Dispute: Customer vs. Member and Non-Member. REPRESENTATION OF PARTIES For Tiffany Rayburn Godfrey Revocable Trust, Tiffany Rayburn Rab

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 08-02962 Sivamohan Thurairajah Name of the Respondent Hearing Site: Atlanta, Georgia Fidelity Brokerage Sen/ices, LLC Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Sivamohan Thureirejah, hereinafter referred to as "Claimant": Rebecca C. Davis, Esq., Davis & Griffey, P.A., Celebration, Florida. For Fidelity Br

Stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Capital Growth Financial, L.L.C. Names of the Respondent Gregg Nussbaum Name of the Third Partv Respondent First American Capital Trading Corp. Case Number: 07-02664 Hearing Site: Boca Raton, Florida Nature of the Dispute: Member vs. Associated Person vs. Member. REPRESENTATION OF PARTIES For Capital Growth Financial. L.L.C. ("CGF

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Ciainnants Case Number: 07-02751 Mateo {Holdings, Inc. Santiago Reyes Name of the Respondent Hearing Site: Miami, Florida Spencer Trask Ventures, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Mateo Holdings, Inc. ("MHI") and Santiago Reyes ("Reyes"), hereinafter collectively referred to as "Claimants": Mark Raymond, Esq., Br