Award FINRA Dispute Resolution In the Matter of the Arisitration Between: Cosme Monot (Claimant) vs. LinkBrokers Derivatives Corporation, inc. (Respondent) Case Number: 06-05327 Hearina Site: New York, New York Nature of the Dispute: Associated Person vs. Member REPRESENTATION OF PARTIES Claimant Cosme Monot hereinafter referred to as "Claimant": Aiisa L. Silvestein, Esq., and Gary Trachen, Esq., Kudman Trachten Aloe LLP, New York, NY. Respondent Li

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Sloan Securities Corp (Claimant) vs. Harry Friedman and Prestige Financial Center. Inc. (Respondents) Case Number: 07-01486 Hearino Site: New York, New York Nature of the Dispute: Member vs. Associated Person and Member. REPRESENTATION OF PARTIES Claimant Sloan Securities Corp., hereinafter referred to as "Claimant": Paul A. Liberman, Esq.. Hamburger Law Firm LLC, Englewood, NJ

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-03084 Louis N. Hoggatt and Cynthia K. Laughlin. ("Claimants") vs. TD Amerltrade. Inc., ("Respondent") ATTORNEYS: Claimants appeared pro se, San Antonio, TX. For Respondent appeared in-house counsel James J. Vihstadt, Esq., Omaha, NE. NATURE OF DISPUTE: Customers vs. Member DATE FILED: August 25, 2008 CASE SUMMARY: Claimants alleged that Respondent made an unauthorized redemptk>

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-02270 Avalon Partners, Inc. ("Claimant") vs. Brendan Gillespie ("Respondent") ATTORNEYS: For Claimant appeared Jonathan Kurta. Esq., Sichenzia, Ross. Friedman. Ference. LLP. New York. NY. Respondent appeared Pro se. Palisades Park, NJ. NATURE OF DISPUTE: IVIember vs. Associated Person DATE FILED: July 2. 2008 CASE SUMMARY: Claimant alleged breach of promissory notes and breach of

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-02558 l\1axim Group, LLC ("Claimant") vs. Steven Joseph Ferchak ("Respondent") ATTORNEYS: For Claimant appeared James E. Siegel, Esq.. New Yoric, NY. Respondent Steven Joseph Ferchak did not submit an Answer to the Statement of Claim. NATURE OF DISPUTE: Member vs. Associated Person DATE FILED: July 24, 2008 CASE SUMMARY: Claimant alleged breach of contract and indemnification for f

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 08-01919 l\/lorgan Keegan & Co.. Inc. Name of the Respondent Hearing Site: Little Rock, Arkansas Jimmie W. Thompson Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Morgan Keegan & Co., Inc., hereinafter refen-ed to as "Claimant": Shea O'Brien Hicks, Esq., First Vice President, Associate Attorney for Morgan

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number 07-02146 E*Trade Financial Corp. Names of the Respondents Hearing Site: Boca Raton, Florida Rodney CarrBsquiiio Scott Halverson Grace Financial, LLC Nature of the Dispute: Non-Member vs. Associated Person and Member. REPRESENTATIQM OF PARTIES For E*Trade Financial Corp., hereinafter referred to as "Claimant": J. Scott l-lumphrey, Esq

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant / Counter-Respondetit NatClty Investments. Inc. vs. CaseNumt)er: 08-01522 Hearing Site: Pittsburgh, Pennsylvania Names of Respondents / Countar-Ciaimants BPU Investment Management, Inc. and Mari^A. Kovacs Member vs. Member and Associated Person REPRgSEMTATIOM OF PARTIES NatCrty Investments, Inc. ("Claimant" or "NatCity") was represented by Stanley Y

Award FINRA Dispute Resolution in the Matter of the Arbitration Between: Name of the Claimant Case Number: 07-03572 CIBC World Markets Corp. Name of the Respondent Hearing Site: Washington. D.C. Robert Lynn Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For CIBC World Marl^ets Corp. ("CIBC"), hereinafter refened to as "Claimant": Joseph J. Sullivan, ill, Esq.. Sheindlin & Sullivan, LLP, New Yorl< , NY. For Robe

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 08-01366 David Mer Names of the Respondents Hearing Site: Boca Raton, Florida i^lorgan Stanley & (^. inc. Fred Comett Daniel Bellino Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES David Mer, hereinafter referred to as "Claimant", appeared pro se. For Morgan Stanley & Co. Inc. ("Morgan Sta