AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Stephen Routh, individually and as Trustee of the Tetons. Inc. Defined Benefit Pension Plan, and Christy Routh. individually and as Trustee of the Tetons. Inc. Defined Benefit Pension Plan vs. Case Number: 07-02704 Hearing Site: Kansas City. Missouri Names of Respondents ING Financial Partners. Inc., Locust Street Securities. Inc.. and Frank D

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 07-01995 Mike Dalton Brookstone Securities, Inc. Name of the Respondent Hearina Site: Tampa, Florida GunnAllen Financial, Inc. Nature of the Dispute: Associated Person and Member Firm vs. Associated Person. For Claimant Mike Dalton, hereinafter referred to as "Claimant Dalton": Justin D. Eleff, Esq.. The Mclntyre Law Firm, P.L.

FINRA DISPUTE RESOLUTION MODIFIED AWARD FINRA DISPUTE RESOLUTION CASE: 08-00135 Shampan Lamport, LLC d/b/a National Securities Corporation ("Claimant") v. Ronald Cole ("Respondent") ATTORNEYS: For Claimant appeared Michael S. Colombo. StreetWide Asset Recovery Group. Inc.. Lyndhurst, NJ. Respondent appeared Pro se, Darien, CT. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: November 1. 2007 CASE SUMMARY: Claimant alleged that Resp

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 08-01076 Fordham Financial Management, Inc. ("Claimant") v. Kirt Samuel ("Respondent") ATTORNEYS: For Claimant appeared Michael S. Colombo, StreetWide Asset Recovery Group, Inc., Lyndhurst, NJ. Respondent appeared Pro se, Brooklyn, NY. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: April 11. 2008 CASE SUMMARY: Claimant alleged that Respondent owes amount pursuant to the

RNRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-02981 Ryan Beck & Co., Inc. ("Claimant") vs. Hert)ert Hunt. CRespondenf) ATTORNEYS: For Claimant appeared Jeffrey C. Primiano, Esq., of the firm Stifel, Nicolaus & Company, Inc., Fkxtiam, NJ. Respondent appeared pro se, Lyndhuret, OH. NATURE OF DISPUTE: Member v. Assodatad Person DATE FILED: October 19,2007 CASE SUMMARY: Claimant alleged that Respondent breached a contract by tailin

Stipulated Award FINRA Dispute Resolution In the Matter of the Ari3itration Between: Names of the Claimants Case Number: 07-00799 Arte Aioni Have Aioni Names of the Respondents Hearina Site: Boca Raton. Florida CIBC Worid Martlets Corp. Jeff Bank Susan Sutheriand Arthur Lewis Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Arte Aioni and Have Alonl, hereinafter referred to as "Claimants

STIPULATED AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Joseph and Isabel Prischal^ vs. Names of Respondents Deutsche Bank Securities, Inc. and Malcolm T. Dale Case Number: 05-04558 IHearing Site: Pittsburgh, Pennsylvania Customers vs. Member and Associated Person Joseph and Isabel Prischal^ ("Claimants") were represented by Douglas R. Jennings, Esq., Caiiile Patchen & Murphy, LLP, Colum

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-04695 Flavia LoCoco Name of the Respondents Hearina Site: Los Angeles, California WM Financial Services, Inc. and Philip P. Hurst Nature of the Dispute: Associated Person vs. Member and Associated Person REPRESENTATiON OF PARTIES Claimant, Flavia LoCoco, hereinafter refenred to as "Claimanf: Montgomery G. Griffin, Esq., La

Award FINRA Dispute Resolution In the Matter of the Arisitration Between: Claimant Case Number: 07-02566 GunnAllen Financial, Inc. Respondents Hearina Site: Los Angeles, Califomia Michael A. Poutre, II and Shiomi S. Epiboim Counter-Claimants Michael A. Poutre, II and Shiomi S. Epiboim Counter-Respondent GunnAllen Financial, Inc. Nature of the Dispute: Member vs. Associated Persons Associated Persons v. Member REPRESENTATION O

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 07-02775 James E. Baxter, II Betty L. Baxter and James E. Baxter, 11, joint tenants John O. Baxter and James E. Baxter, II, joint tenants Kathleen P. King Name of the Respondent Hearina Site: Richmond, VA TD Ameritrade, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For James E. Baxter, II, Betty L. Bax