Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Fran Brunwasser (Claimant) vs. Rushmore Capital, Inc., f/k/a HMS Securities, Inc., a/k/a Domestic Securities, Inc., and Eric Weisblum, a/k/a Eric Hillel Weisblum (Respondents) Case Number: 07-01353 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Association Person. REPRESENTATION OF PARTIES Claimant Fran Brunwasser hereinafter referred to as "Cla

Award FINRA Dispute Resolution In the Matter of the Arisitration Between: Name of the Claimant Case Number: 07-02466 Banc of America Investment Services, Inc. Name of the Respondent Hearing Site: Baltimore, Maryland Joseph J. Sherrick Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Banc of America Investment Services, Inc., hereinafter referred to as "Claimant": Ronald P. Kane, Esq., Diane C. Fischer. Esq. and

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 08-00205 Alan Neil Greenspan Name of the Respondent Hearinc Site: Boca Raton, Florida Zions Direct, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Alan Neil Greenspan, hereinafter referred to as "Claimant", appeared pro se. For Zions Direct, inc. ("Zions"), hereinafter referred to as "Respondent": Angelina Tsu,

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: David W. Levy (Claimant) vs. Citigroup Global Markets, Inc. (Respondent) Case Number: 05-05320 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant David W. Levy hereinafter referred to as "Claimant": David B. Bernfeld, Esq.. Bernfeld, DeMatteo, & Bernfeld, LLP, New York, NY. Respondent Citigroup Global Markets

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Pointe Capital, Inc. (Claimant) vs. Kurt Yasin Muller (Respondent) Case Number: 08-00147 Hearing Site: New York, New York Nature or tne uispute: Memoer vs. Associated person. REPRESENTATION OF PARTIES Claimant Pointe Capital, Inc., hereinafter referred to as "Claimant": Daniel R. Levene, Pointe Capital, Inc., Boca Raton, FL. Respondent Kurt Yasin Muller hereinafter referred to

i I FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-03376 Scott Rosenberg ("Claimant") vs. Lincoln Financial Advisors Corporation ("Respondent") ATTORNEYS: Claimant appeared Pro se, Egg Harbor Township, NJ. For Respondent appeared Gerry KowalskI, Esq., Marshall, Dennehey, Warner, Coleman & Goggin, Philadelphia, PA. NATURE OF DISPUTE: Associated Person v. Member DATE FILED: November 26, 2007 CASE SUMMARY: Claimant alleged

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Jose Aristobulo Fiquene Barbosa and Evoluon Empreendimentos LTDA (Claimants) vs. UBS Financial Services, Inc., UBS International, Inc., Fabrizio Neves, and Claudio Izqulerdo (Respondents) Case Number: 07-02776 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Members and Associated Persons. REPRESENTATION OF PARTIES Claimants Jose Aristobulo Fiquene Barbosa

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Mark C. Fritz vs. Names of Respondents Granite Financial Group, LLC and Daniel J. Schreiber Case Number: 07-02094 Hearing Site: Cleveland, Ohio NATURE OF THE DISPUTE Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Mark C. Fritz ("Claimant") was represented by Lawrence J. Scanlon, Esq., Lawrence J. Scanlon & Co., LLC,

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number. 02-05037 Aktar Huda Name of the Respondents Hearinc Site: Los Angeles, California Equitrade Securities Corp. Albert Carazolez Nature of the Dispute: Customer vs. IVIember and Associated Person REPRESENTATION OF PARTIES Claimant Aktar Huda: In Pro Se, Chino Hills, California Respondent Equitrade Securities Corp.: Philip Roebuck, Equitrad

stipulated Award FINRA Dispute Resolution In the Matter of the Ariaitration Between: Name of the Claimant Case Number: 07-02881 John Rapillo Names of the Respondents Hearino Site: Boca Raton, Florida TD Ameritrade, Inc. Mikhael Helper Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For John Rapillo ("Rapillo"), hereinafter referred to as "Claimant": Bradford M. Gucciardo, Esq. and Scott D. Hirsch,