Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant William Holland Name of the Respondents Wachovia Securities, LLC Eugene P. Ingargiola a/k/a Gene Ingargiola Master Consolidated Case Number. 05-05159 Hearing Site: San Diego, Califomia Counter-Claimant Wachovia Securities, LLC Counter-Res[X)ndent William R. Holland Consolidated with: Name of Claimant Michael W. Holland Name o

Award FINRA Dispute Resolution In the Matter of the Artsitration Between: Claimant: Case Number 03-03017 Justin Peristrom Respondents: Hearing Site: Los Angeles, Califomia First Wall Street Corporation Charies P. Lazzaro Barbara J. Ralston John R. Openshaw Nature of the Dispute: Customer vs. Member and Associated Persons REPRESENTATION OF PARTIES Claimant, Justin Peristrom, hereinafter refened to as "Claimant": Patrick Baldwin, Esq.

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number. 06-04808 Chestnut Energy Partners, Inc. a/k/a Plummer Securities, Inc. Respondents Hearina Site: Dallas. Texas M&W Financial, Inc. and Thomas E. Tapla Counter-Claimant M&W Financial, Inc. Counter-Respondent Chestnut Energy Partners. Inc. a/k/a Plummer Securities, inc. Third Party Claimant M&W Financial, Inc. Third Party Respondent

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number: 08-00641 Charies Schwab & Co., Inc. Respondents Hearina Site: San Francisco. Califomia Donald E. Newman and New Man Inc., a sole proprietorship Nature of the Dispute: Member vs. Customers REPRESENTATION OF PARTIES Claimant, Charies Schwab & Co., Inc., hereinafter referred to as "Claimant": Richard A. Karoly, Esq.. Charies Schwab & Co., Inc.. San Fr

Award FINRA Dispute Resolution In the Matter of the Arisitration Between: Claimant: Case Number: 06-05295 CurtG. Reed. Jr. Respondents: Hearina Site: San Diego. Califomia Lincoln Financial Advisors Corporation The Lincoln National Life Insurance Co. Nature of the Dispute: Associated Person v. Members REPRESENTATION OF PARTIES Claimant, Curt G. Reed. Jr.. hereinafter referred to as "Claimant": Lawrence J. Fossi, Esq. and Karen Jewell, Esq., F

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Stephen Routh, individually and as Trustee of the Tetons. Inc. Defined Benefit Pension Plan, and Christy Routh. individually and as Trustee of the Tetons. Inc. Defined Benefit Pension Plan vs. Case Number: 07-02704 Hearing Site: Kansas City. Missouri Names of Respondents ING Financial Partners. Inc., Locust Street Securities. Inc.. and Frank D

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 07-01995 Mike Dalton Brookstone Securities, Inc. Name of the Respondent Hearina Site: Tampa, Florida GunnAllen Financial, Inc. Nature of the Dispute: Associated Person and Member Firm vs. Associated Person. For Claimant Mike Dalton, hereinafter referred to as "Claimant Dalton": Justin D. Eleff, Esq.. The Mclntyre Law Firm, P.L.

FINRA DISPUTE RESOLUTION MODIFIED AWARD FINRA DISPUTE RESOLUTION CASE: 08-00135 Shampan Lamport, LLC d/b/a National Securities Corporation ("Claimant") v. Ronald Cole ("Respondent") ATTORNEYS: For Claimant appeared Michael S. Colombo. StreetWide Asset Recovery Group. Inc.. Lyndhurst, NJ. Respondent appeared Pro se, Darien, CT. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: November 1. 2007 CASE SUMMARY: Claimant alleged that Resp

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-01076 Fordham Financial Management, Inc. ("Claimant") v. Kirt Samuel ("Respondent") ATTORNEYS: For Claimant appeared Michael S. Colombo, StreetWide Asset Recovery Group, Inc., Lyndhurst, NJ. Respondent appeared Pro se, Brooklyn, NY. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: April 11. 2008 CASE SUMMARY: Claimant alleged that Respondent owes amount pursuant to the

RNRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-02981 Ryan Beck & Co., Inc. ("Claimant") vs. Hert)ert Hunt. CRespondenf) ATTORNEYS: For Claimant appeared Jeffrey C. Primiano, Esq., of the firm Stifel, Nicolaus & Company, Inc., Fkxtiam, NJ. Respondent appeared pro se, Lyndhuret, OH. NATURE OF DISPUTE: Member v. Assodatad Person DATE FILED: October 19,2007 CASE SUMMARY: Claimant alleged that Respondent breached a contract by tailin