Stipulated Award FINI^ Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 09-02077 ACTS Capital Investments, LLC Mark Kielar Tammy Kielar Names of the Respondents Hearina Site: Boca Raton, Florida Alterna Capital Corp. Robert Lloyd Konrad, Jr. Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For ACTS Capital Investments, LLC, Marie Kielar and Tamm

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-00745 E. Eugene Gunter Names of the Respondents Hearina Site: Richmond, VA Whitaker Securities. LLC Steve Morris Thomas E. O'Neill Michael S. Segal Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For E. Eugene Gunter, hereinafter referred to as "Claimant": W. Scott Greco.

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Fordham Financial Management, Inc. (Claimant) vs. John Alejos (Respondent) Case Number: 08-03207 Hearing Site: New Yoric, New Yorit Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Fordham Financial Management, Inc., hereinafter referred to as "Claimant": Brian Neville, Esq., Lax & Neville, LLP, New York. NY. Respondent John Alejos hereinaf

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Banc of America Investment Services, Inc. (Claimant) vs. Steven A. Newman (Respondent) Case Number: 08-04065 Hearina Site: Newark, New Jersey Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant Banc of America Investment Services, Inc., hereinafter referred to as "Claimant": Diane C. Fisher, Esq., and Ronald Kane, Esq., Kane & Fischer, Ltd.,

AWARD FINRA DISPUTE RESOLUTION In the Matter of the Arbitration Between: Maxim Group LLC (Claimant) vs. Yachtz Radcliff Winch (Respondent) Case Number: 09-03229 IHearing Site: New Yoric, New York NATURE OF DISPUTE: Member v. Associated Person REPRESENTATION OF PARTIES Claimant Maxim Group LLC, hereinafter referred to as "Claimant": Christopher G. Massey, Esq., Maxim Group LLC, New Yorl< , NY. Respondent Yachtz Radcliff Winch did not enter an appearanc

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: The Smith Barney Division of Citigroup Global Markets, Inc. f/l^a Salomon Smith Barney Inc. (Claimant) v. Wachovia Securities, LLC, Marc Johnson, Eugene Richardson, Carol Ramsdell, Justin Bundo, Dolores DeGregoria, and Matthew Mulpeter (Respondents) Case Number: 09-01130 Hearing Site: Rochester, New Yorl^ Nature of the Dispute: Member vs. Member and Associated Persons. REPRESENT

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Lillian August (Claimant) vs. Wedbush Morgan Securities, Inc., Debbie M. Saleh, and Ronald E. Vogel (Respondents) Case Number: 09-00866 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Persons REPRESENTATION OF PARTIES Claimant Lillian August hereinafter referred to as "Claimant"; Gregory S. Mertz, Esq., Mertz, Talbot & Simonds, PLC, Bur

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Numt)er 07-03630 Ronald E. Ostlund Name of the Respondents: Hearing Site: l-os Angeles, California Joseph Stevens & Company, Inc. Peter C. Orthos Daniel A. Claps Joseph Sort)ara Linda E. Chudnoff Steven A. Mari«>witz Nature of the Dispute: Customer vs. Member and Associated Persons REPRESENTATION OF PARTIES Claimant Ronald E. Ost

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Wells Fargo Investments, LLC Respondent Sue H. Lee Counter-Claimant Sue H. Lee Counter-Respondent Wells Fargo Investments, LLC Case Number: 08-00944 Hearing Site: Los Angeles, California Nature of the Dispute: Member vs. Associated Person Associated Person vs. Member REPRESENTATION OF PARTIES Claimant/Counter-Respondent, Wells Fargo In

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Ian H. Fay (Claimant) vs. BNP Paribas Securities Corp. and BNP Paribas (Respondents) Case Number: 08-04756 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member and Non-Member. REPRESENTATION OF PARTIES Claimant Ian H. Fay hereinafter referred to as "Claimant": Laurence S. Moy, Esq., Outten & Golden. LLP. New York. NY. Respondents BNP Paribas S