Award FINRA Dispute Resolution In the Matter of the Art)itration Between: Name of the Claimant Case Number 07-00913 Jerry Engel Name of tiie Respondents Hearing Site: Las Vegas, Nevada Spencer Trask Ventures, Inc. Bill DioQuanJi Kevin Kimberiin Nature of the Dispute: Associated Person v. Member and Associated Persons REPRESENTATION OF PARTIES Claimant. Jerry Engel, hereinafter referred to as "Claimant": M Nelson Segel, Esq.. Law Office o

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of tiie Claimant: Charies C. Salfity Name of tiie Respondents: AIG Financial Advisors. Inc. f/k/a SunAmerica Securities, Inc. Scott A. Householder Todd A. Bergeron The Householder Group, LLLP Case Number: 05-06281 Hearing Site: Los Angeles, Califomia Nature of the Dispute: Associated Person v. Member, Associated Persons, and Non- Member REPRESENTATI

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 07-02144 Morgan Keegan & Company. Inc. Name of the Respondent Hearing Site: Dallas. Texas Holt E. Harris Nature of the Dispute: Member v. Associated Person REPRESENTATION OF PARTIES Claimant. Morgan Keegan & Company, Inc., Shea O'Brien Hicks, Esq., Morgan Keegan & Company. Inc., Memphis, Tennessee Respondent did not enter an appearance

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants: Case Number: 07-03225 James V. Nielsen Elinor Nielson, individually James & Elinor Nielsen, Trustees of The James & Elinor Nielsen Living Trust Dated February 7, 2007 Name of the Respondent: Hearing Site: Los Angeles, California Charies Schwab & Co. Inc. Nature of the Dispute: Customers vs. Member REPRESENTATION OF PARTIES Claimants, James

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Patrick J. FItzpatrick vs. Names of Respondents NatCity Investments, Inc. and Cathy M. Dickens Case Number: 07-00601 IHearing Site: Southfield, Michigan Customer vs. Member and Associated Person PatrickJ. FItzpatrick ("Claimant") was represented by Anthony V.Trogan, Esq., Anthony V. Trogan, P.L.L.C., West Bloomfield. Michigan. NatCity Invest

Award FINRA Dispute Resolution In the IVIatter of the Arbitration Between: William Capogrosso (Claimant) vs. E*Trade Securities, LLC (Respondent) Case Number: 07-02475 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant William Capogrosso hereinafter referred to as "Claimant": Mario H. Capogrosso, Esq., New Rochelle, NY. Claimant previously appeared pro se. Respondent E*Trade Securities, LL

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 07-02381 Raymond J. Filorimo Names of the Respondents Hearino Site: Boca Raton, Florida Intervest Intemationat Equities Corporation David Smith Robert Copus Nature of the Dispute: Associated Person vs. Member and Associated Person. REPRESENTATION OF PARTIES For Raymond J. Filorimo, hereinafter referred to as "Claimant": Delmer C. Gowing

Award FINRA Dispute Resolution in the Matter of the Arbitration Between: Name of the Claimant Case Number: 07-02590 Banc of America investment Services, Inc. Name of the Respondent Hearing Site: Miami, Florida Scott Huffman Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Banc of America Investment Services, inc.. hereinafter referred to as "Claimant": Ronald P. Kane, Esq., Kane & Fischer, Ltd., Chicago, Illinoi

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Beatrice B. Kershenbiatt (Ciaimant) vs. A.G. Edwards & Sons, inc., and David J. Karp (Respondents) Case Number: 07-03269 Hearing Site: Philadelphia. Pennsylvania Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Ciaimant Beatrice B. Kershenbiatt hereinafter referred to as "Claimant" appeared pro se. Respondents A.G. Edwards & Sons,

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Sophie Rothstein (Claimant) vs. Richard Fitzburgh. Joel B. Chase, and UBS Financial Services. Inc. (Respondents) Case Number: 07-02676 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Associated Persons and l\Jember. REPRESENTATION OF PARTIES Claimant Sophie Rothstein hereinafter referred to as "Ciaimant": Edward Rothstein, New York. NY. Respondents Rich