Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimants Case Number: 07-01765 Charles Ross Westley, individually and as Trustee of the Charles Ross Westley Life Insurance Revocable Living Trust and as Trustee of the Westley Living Trust, and Mary S. Westley, individually and as Trustee of the Westley Living Trust Respondents Hearing Site: Denver, Colorado Associated Securities Corp. William A. Gay Private C

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Robinson Bosworth, III vs. Name of Respondent Robert W. Baird & Co. Incorporated Case Number: 07-02603 Hearing Site: Milwaukee, Wisconsin NATURE OF THE DISPUTE Associated Person vs. Member REPRESENTATION OF PARTIES Robinson Bosworth, III ("Claimant") was represented by Thomas L. Skalmoski, Esq., Weiss Berzowski Brady LLP, Milwaukee, Wisconsi

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Rohit Relan (Claimant) vs. RBC Capital Markets Corporation (Respondent) Case Number: 07-02530 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Rohit Relan hereinafter referred to as "Claimant" appeared pro se. Respondent RBC Capital Markets Corporation hereinafter referred to as "Respondent": Ralph DeSena,

STIPULATED AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Larry L. Thompson vs. Case Number: 02-05828 Hearing Site: Detroit, Michigan Names of Respondents Carillon Investments, Inc. and Kevin M. Grunawalt NATURE OF THE DISPUTE Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Lan7 L. Thompson ("Claimant") was represented by Kalju Nekvasil, Esq., Goodman & Nekvasil, P.A.

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Wachovia Securities, LLC (Claimant) vs. Haran Brucker (Respondent) Case Number: 06-03260 Hearing Site: New York, New York Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Wachovia Securities, LLC hereinafter referred to as "Claimant": Victor A. Machcinski, Jr., Esq., Kresbach & Snyder, P.C, New York, NY. Previously represented by Douglas D

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-00637 Richard S. Fernandes ("Claimant") vs. GunnAllen Financial, Inc. ("Respondent") ATTORNEYS: Claimant appeared Pro se, DeerField Beach, FL. For Respondent appeared Jay Marc Israel, Esq., Lindenhurst, NY. NATURE OF DISPUTE: Customer v. Member DATE FILED: March 6, 2008 CASE SUMMARY: Claimant alleged stock fraud, misrepresentation, failure to supervise, and negligence. Claimant mai

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Isidore Fields and Dolores Fields (Claimants) vs. Chase Investment Corp., Loren Bailey, and Nick Manchisi (Respondents) Case Number: 07-02956 Hearing Site: Newark, New Jersey Nature of the Dispute: Customers vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimants Isidore Fields ("I. Fields") and Dolores Fields ("D. Fields") hereinafter collectively referred to as

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Puccinelli Jr. Trust 10-1-1998, Samuel J. Puccinelli, Trustee, Puccinelli PRFT SHR TT 2-1-98, Samuel Puccinelli, Jr., Trustee, and Puccinelli Retire TST 6-26-00, Samuel Puccinelli, Jr., MD, Inc., Trustee vs. Names of Respondents NatCity Investments, inc., Brian Henry Bruscino, National City Insurance Group, Inc., and Hartford Life and

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Gary W. l\/larsico. Individually and as Beneficial Owner of ROTH IRA FBO Gary W. Marsico vs. Name of Respondent Fidelity Brokerage Services, LLC Case Number: 07-03450 Hearing Site: Pittsburgh, Pennsylvania NATURE OF THE DISPUTE Customer vs. Member REPRESENTATION OF PARTIES Gary W. Marsico, Individually and as Beneficial Owner of ROTH IFR

STIPULATED AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Nanne of Claimant/Counter-Respondent Amit Y. Sela vs. Case Number: 07-02458 Hearing Site: Minneapolis, Minnesota Names of Respondents/Counter-Claimants Oak Ridge Financial Sen/ices Group, Inc. and Jeffrey A. Schachtman NATURE OF THE DISPUTE Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Amit Y. Sela ("Claimant") was represented by