Award FINRA Dispute Resolution In the Matter of the Art)itration Between: Claimant Case Number: 07-02111 Paul Bajocchi Respondent Hearino Site: Los Angeles, Cairfbmia Euro Pacific Capital, Inc. Counter-Claimant Euro Pactfic Capital. Inc. Counter-Respondent Paul Baiocchi Nature of the Dispute: Associated Person vs. Memt)er Member vs. Associated Person REPRESENTATION OF PARTIES Ciaimant/Counter-Respondent Paul Baiocchi hereinafter

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Jean Nilsson (Claimant) v. Anthony Czarzasty and Menill Lynch, Pierce, Fenner & Smith, Inc. (Respondents) Case Number: 07-03395 Hearina Site: Hartford, Connecticut Nature of the Dispute: Customer vs. Associated Person and Member. REPRESENTATION OF PARTIES Claimant Jean Nilsson hereinafter refened to as "Claimant": Paul Sabia, by power of attomey for the Claimant.

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-03002 Alfred Mullen, IRA by Kelley B. Standard, Dorothy E. Mullen IRA by Kelley B. Standard, Est. of Dorothy E. Mullen by Kelley B. Standard. Personal Representative ("Claimants") vs. Sterne Agee & Leach, Inc. and John Hlcl^s ("Respondents") ATTORNEYS: For Claimants appeared Roger W. Van Deusen, Esq., Van Deusen & Wagner, LLC, Cleveland, OH. For Respondents appeared Ronald G. DeLuca, E

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Stephen B. Grayer vs. A. B. Watley Direct, Robert F. Malin, Stephen Malin, A. B. Watley, Inc. and Integrated Clearing Sotutions, Inc. Case Number: 08-00085 Hearina Site: New York. New Yorlc Nature of the Dispute: Associated Person vs. Members and Associated Persons. REPRESENTATION OF PARTIES Claimant Stephen B. Grayer hereinafter refened to as "Claimant" appeared pro se. Previo

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Frank Wallace (Claimant) vs. Salomon SmKh Bamey a/k/a Citigroup Global Markets, Inc. (Respondent) Case Number: 05-02062 Hearing Site: New York, New Yoric Nature of the Dispute: Associated Person vs. Memt)er. REPRESENTATION OF PARTIES Claimant Frank Wallace hereinafter referred to as "Claimant": Louis Aidala, Esq. and Joseph P. Baratta, Esq., Baratta, Baratta & Aidala LLP, New Y

AWARD FINRA Dispute Resolution In the Matter of the Ari)itration Between: Names of Claimants/Counter-Respondents David DeYoung and Lonie Tun/old vs. Case Number: 08-00018 Hearing Site: Minneapolis, Minnesota Names of Respondents/Counter-Claimants The Oak Ridge Financial Services Group, Michael D. Leonard, Marc H. Kozberg, and Richard D. Husebo Associated Persons vs. Member and Associated Persons REPRESENTATION OF PARTIES David DeYoun

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the aaimant Case Number. 08^1772 Banc of America Invesbnents Services, Inc. Name of the Respondent Hearing Site: Los Angeles, California Richard C. Gomez Nature of Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant, Banc of America Investment Services, Inc.: D. Daxton White, Esq., Kane & Fischer, Ltd., Chicago, Illinois Respondent, Richard

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimants Case Number: 06-02604 Thomas E. Turic Thomas E. Turic Revocable Trust Thomas E. Turi< Trust Respondents Hearing Site: San Diego. California Northeast Securities, Inc. Roy A. Nornian Nature of the Dispute: Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Claimants, Thomas E. Turk, Thomas E. Turk Revocable Trust and Thomas E. Turk Tru

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 08-00911 Banc of America Investment Services, Inc. Name of the Respondent Hearina Site: Boca Raton, Florida Ladd AiifT Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Banc of America Investment Services, Inc., hereinafter referred to as "Claimant": D. Daxton White, Esq., Kane & Fischer, Ltd., Ch

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 08-00829 Sharon R. Davis Names of the Respondents Hearing Site: Oriando, Florida George P. Hasapes Advanced Planning Securities, Inc. Advanced Planning Holding Corp. Christopher Charies Pollina Edward Donald Puttick, Sr. John Jackson Williams Rockwell Global Capital, LLC Bruce J. Guarino Christopher Peter Ferrara