Award FINRA Dispute Resolution In the Matter of the Arbitration Between: John S. Rendall, Claimant v. Merrill Lynch, Pierce, Fenner & Smith Incorporated, Respondent Case Number: 07-00758 Hearing Site: Albuquerque, New Mexico Nature of the Dispute: Customer v. Member REPRESENTATION OF PARTIES For Claimant: Michael W. Wile, Esq. Vogel Campbell & Blueher, P.C. Albuquerque, New Mexico For Respondent: Charles A. Gall, Esq. Hunton & Williams,

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-01760 Richard E. Littell, ("Claimant") vs. Keith Connolly, CRD #2667382, Vision Securities, Inc., CRD #35001 and William Mancusi, ("Respondents") ATTORNEYS: Claimant/Counterclaim Respondent appeared pro se, Mansfield, TX. For Respondent/Counterclaim Claimant Keith Connolly appeared Harry J. Delagrammatikas, Esq., of the firm McCormick & O'Brien, LLP, New York, NY. Respondent Vision Sec

FINRA DISPUTE RESOLUTION STIPULATED AWARD FINRA DISPUTE RESOLUTION CASE: 07-01506 Mesirow Financial, Inc., ("Claimant") vs. John Francis Holoubek, Jr., ("Respondent") ATTORNEYS: For Claimant appeared in-house counsel, A. Brad Busscher, Snr., MD, Chicago, IL. Respondent did not submit an Answer to the Statement of Claim. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: May 10, 2007 CASE SUMMARY: Claimant alleged that Respondent failed to re

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-02035 Clark Dodge & Co., Inc. ("Claimant") vs. James D. Rossi ("Respondent") ATTORNEYS: For Clark Dodge & Co., Inc. appeared Randle B. Carpenter, Esq., Larchmont, NY Respondent James D. Rossi did not submit an answer to the Statement of Claim. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: July 11, 2007 CASE SUMMARY: Claimant alleged that Respondent failed to repay a loan o

Award FINRA Dispute Resolution In the Matter of the Arbitration BebA/een: Name of the Claimant RBC Dain Rauscher, Inc. Name of the Respondent Thomas Mitchell Case Number: 07-01608 Hearing Site: Columbia, South Carolina Nature of the Dispute: Member vs. Customer. REPRESENTATION OF PARTIES For RBC Dain Rauscher, Inc., hereinafter referred to as "Claimant": Carolyn Guy, Esq., RBC Dain Rauscher, Inc., Minneapolis, Minnesota. Thomas Mitch

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: William and Mary Connolly (Claimants) vs. Victoria Tomaro and TFS Securities, Inc. (Respondents) Case Number: 07-01311 Hearing Site: Hartford. Connecticut Nature of the Dispute: Customers vs. Associated Person and Member. REPRESENTATION OF PARTIES Claimants William and Mary Connolly, hereinafter collectively referred to as "Claimants": Theodore M. Davis, Esq., Brooklyn, NY.

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant RBC Dain Rauscher Inc. vs. Case Number: 05-06247 Hearing Site: Dallas, Texas Names of Respondents Morgan Stanley DW Inc., Dale Franklin Johnson, Jr., John Anthony Pennington, Keith Allen Shahan, Samuel Wylie Sloane, Susan Anderson Stroud, and James Glenn Tallant NATURE OF THE DISPUTE Member vs. Member and Associated Persons REPRE

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Stephen Nadler (Claimant) vs. PNC Investment, LLC, and JJB Hilliard, W.L. Lyons, Inc. (Respondents) Case Number: 06-02135 Hearing Site: Newark. New Jersey Nature of the Dispute: Associated Person vs. Members. REPRESENTATION OF PARTIES Claimant Stephen Nadler hereinafter referred to as "Claimant": Ruthann G. Niosi, Esq., Law Offices of Ruthann G. Niosi, Esq., New York, NY. R

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: William Burke (Claimant) vs. A.G. Edwards & Sons, Inc. (Respondent) Case Number: 06-03130 Hearing Site: Buffalo. New York Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant William Burke hereinafter referred to as "Claimant": Donald G. McGrath, Esq., Donald G. McGrath, PLLC, Williamsville, NY. Respondent A.G. Edwards & Sons, Inc., hereinafter referre

Award FINRA Dispute Resolution In the Matter ofthe Arbitration Between: Name of the Claimant Case Number: 06-03491 Kathryn L. Honea Names of the Respondents Hearing Site: Birmingham, Alabama Raymond James Financial Services, Inc. Bernard Ross Michaud Nature ofthe Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Kathryn L. Honea, hereinafter referred to as "Claimant": J. Timothy Francis, Esq., James L. North &