AWARD FINRA Dispute Resolution In the Matter of the Ari)itration Between: Names of Claimants/Counter-Respondents David DeYoung and Lonie Tun/old vs. Case Number: 08-00018 Hearing Site: Minneapolis, Minnesota Names of Respondents/Counter-Claimants The Oak Ridge Financial Services Group, Michael D. Leonard, Marc H. Kozberg, and Richard D. Husebo Associated Persons vs. Member and Associated Persons REPRESENTATION OF PARTIES David DeYoun

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the aaimant Case Number. 08^1772 Banc of America Invesbnents Services, Inc. Name of the Respondent Hearing Site: Los Angeles, California Richard C. Gomez Nature of Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant, Banc of America Investment Services, Inc.: D. Daxton White, Esq., Kane & Fischer, Ltd., Chicago, Illinois Respondent, Richard

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimants Case Number: 06-02604 Thomas E. Turic Thomas E. Turic Revocable Trust Thomas E. Turi< Trust Respondents Hearing Site: San Diego. California Northeast Securities, Inc. Roy A. Nornian Nature of the Dispute: Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Claimants, Thomas E. Turk, Thomas E. Turk Revocable Trust and Thomas E. Turk Tru

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 08-00911 Banc of America Investment Services, Inc. Name of the Respondent Hearina Site: Boca Raton, Florida Ladd AiifT Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Banc of America Investment Services, Inc., hereinafter referred to as "Claimant": D. Daxton White, Esq., Kane & Fischer, Ltd., Ch

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 08-00829 Sharon R. Davis Names of the Respondents Hearing Site: Oriando, Florida George P. Hasapes Advanced Planning Securities, Inc. Advanced Planning Holding Corp. Christopher Charies Pollina Edward Donald Puttick, Sr. John Jackson Williams Rockwell Global Capital, LLC Bruce J. Guarino Christopher Peter Ferrara

Award FINRA Dispute Resolution In the Matter of the Arisitration Between: Cosme Monot (Claimant) vs. LinkBrokers Derivatives Corporation, inc. (Respondent) Case Number: 06-05327 Hearina Site: New York, New York Nature of the Dispute: Associated Person vs. Member REPRESENTATION OF PARTIES Claimant Cosme Monot hereinafter referred to as "Claimant": Aiisa L. Silvestein, Esq., and Gary Trachen, Esq., Kudman Trachten Aloe LLP, New York, NY. Respondent Li

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Sloan Securities Corp (Claimant) vs. Harry Friedman and Prestige Financial Center. Inc. (Respondents) Case Number: 07-01486 Hearino Site: New York, New York Nature of the Dispute: Member vs. Associated Person and Member. REPRESENTATION OF PARTIES Claimant Sloan Securities Corp., hereinafter referred to as "Claimant": Paul A. Liberman, Esq.. Hamburger Law Firm LLC, Englewood, NJ

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-03084 Louis N. Hoggatt and Cynthia K. Laughlin. ("Claimants") vs. TD Amerltrade. Inc., ("Respondent") ATTORNEYS: Claimants appeared pro se, San Antonio, TX. For Respondent appeared in-house counsel James J. Vihstadt, Esq., Omaha, NE. NATURE OF DISPUTE: Customers vs. Member DATE FILED: August 25, 2008 CASE SUMMARY: Claimants alleged that Respondent made an unauthorized redemptk>

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-02270 Avalon Partners, Inc. ("Claimant") vs. Brendan Gillespie ("Respondent") ATTORNEYS: For Claimant appeared Jonathan Kurta. Esq., Sichenzia, Ross. Friedman. Ference. LLP. New York. NY. Respondent appeared Pro se. Palisades Park, NJ. NATURE OF DISPUTE: IVIember vs. Associated Person DATE FILED: July 2. 2008 CASE SUMMARY: Claimant alleged breach of promissory notes and breach of

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-02558 l\1axim Group, LLC ("Claimant") vs. Steven Joseph Ferchak ("Respondent") ATTORNEYS: For Claimant appeared James E. Siegel, Esq.. New Yoric, NY. Respondent Steven Joseph Ferchak did not submit an Answer to the Statement of Claim. NATURE OF DISPUTE: Member vs. Associated Person DATE FILED: July 24, 2008 CASE SUMMARY: Claimant alleged breach of contract and indemnification for f