Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 08-00100 NBC Securities, Inc. Names of the Respondents Hearing Site: Birmingham, Alabama William Joseph McAleer, Jr. Meianie Purvis McAleer Asset Management, LLC Nature of the Dispute: Member vs. Associated Person and Member. REPRESENTATION OF PARTIES For NBC Securities, Inc., hereinafter referred to as "Claimant": John P. Scott, Jr., E

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant: Case Number: 06-00085 Roger Hanson Name of the Respondent: Hearino Site: Los Angeles, California Wachovia Securities, LLC Nature of the Dispute: Customer v. Member REPRESENTATION OF PARTIES Claimant, Roger Hanson, hereinafter referred to as "Claimant": Jordan K. Atzoff, Esq., Law Office of Jordan K. Atzoff, Santa Ana, California and Roger S. Hanson, Es

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant: Carole A. Lane Case Number: 03-06938 Name of Respondents: Hearing Site: Los Angeles, Louis B. Windawi, Clinton E. Maxwell, and California .American Express Financial Advisors Inc. (n/k/a Ameriprise Financial Services) Nature of the Dispute: Associated Person v. Member and Associated Persons REPRESENTATION OF PARTIES Claimant Carole A. Lane: Guy E. Mail

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-05269 Larry L. Graham Name of the Respondents Hearing Site: Denver, Colorado AFS Brol^erage, Inc., Kenneth E. Shade, Robert M. Gioia, Terry W. Hamann, and Donny Hurwitz Nature of the Dispute: Associated Person v. IVIember and Associated Persons REPRESENTATION OF PARTIES Claimant Larry L. Graham, hereinafter referred to as Claimant: M

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Robert Wells vs. Name of Respondent Banc One Securities Corporation Case Number: 07-01984 Hearing Site: Louisville, Kentucky NATURE OF THE DISPUTE Customer vs. Member REPRESENTATION OF PARTIES Robert Wells ("Claimant") was represented by Andrew Stoltmann, Esq., Stoltmann Law Offices, PC, Chicago, Illinois, until his notice of withdrawal on o

Stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: John La Spina (Claimant) vs. Metropolitan Life Insurance Company and Hennion & Walsh, Inc. (Respondents) Case Number: 04-00825 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Members. REPRESENTATION OF PARTIES Claimant John La Spina hereinafter referred to as "Claimant": Brian Reis, Esq., Law Office of Brian Reis, New York, NY. Respo

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-03195 Smith Barney, a division of Citigroup Global Markets, Inc. by and through its assignee DSP, LLC, ("Claimant") vs. Vikas Patel, ("Respondent") ATTORNEYS: For Claimant appeared Justin Joseph D'Eiia, Esq., of the firm Duane Morris LLP, New York, NY. Respondent did not submit an Answer to the Statement of Claim. NATURE OF DISPUTE: Member vs. Customer DATE FILED: Novembers, 2007

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-01815 Larry E. Finkemeier ("Claimant") vs. New England Securities, Inc. ("Respondent") ATTORNEYS: For Larry E. Finkemeier ("Claimant") appeared Jeffrey S. Kruske, Esq., Overland Park, KS. For New England Securities, Inc. ("Respondent") appeared Peter J. Flanagan, Esq., Metropolitan Life Insurance Company, Long Island City, NY. NATURE OF DISPUTE: Customer v. Member DATE FILED: June

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Mark Hootnick (Claimant) vs. Greenhill & Co., LLC (Respondent) Case Number: 07-01434 Hearino Site: New York. New York Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Mark Hootnick hereinafter referred to as "Claimant": Edward J.M. Little, Esq., and Vicki F. Andreadis, Esq., Hughes Hubbard & Reed LLP, New York, NY. Respondent Greenhill & C

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Estate of Thomas H. Piccarreto by Bettina M. Piccarreto, Administrator (Claimant) vs. Great Eastern Securities, Inc., and David Cutolo (Respondents) Case Number: 07-00476 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Estate of Thomas H. Piccarreto by Bettina M. Piccarreto, Administrator here