Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Dale Croteau (Claimant) vs. First Montauk Securities Corp., Brian Keith Martinsen, and Michael inghilterra (Respondents) Case Number: 07-01438 Hearing Site: Boston, Massachusetts Nature of the Dispute: Customer vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant Dale Croteau hereinafter referred to as "Claimant": Kevin G. Diamond, Esq., Shea & Diamond, Hollist

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-03189 Smith Bamey, a division of Citigroup Global Markets, Inc. by and through its assignee DSP, LLC, ("Claimant") vs. Michael Conrad, ("Respondent") ATTORNEYS: For Claimant appeared Justin Joseph D'Elia, Esq., of the fimn Duane Morris LLP, New Yorl< , NY. Respondent appeared pro se, Los Gates, CA. NATURE OF DISPUTE: Member vs. Customer DATE FILED: November 9, 2007 CASE SUMMARY

Award FINRA Dispute Resolution in the Matter of the Arbitration Between: Alfred J. Baker (Claimant) vs. Primex Prime Electronic Execution, inc., and Wilfredo Felix (Respondents) Case Number: 07-02178 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Alfred J. Baker hereinafter referred to as "Claimant": John E. Lawlor, Esq., Law Office of John E. Lawlor, Mineola, NY.

Award FINRA Dispute Resolution Case Number: 07-01464 Hearing Site: Boca Raton, Florida In the Matter ofthe Arbitration Between: Names of the Claimants Arvilla Lorraine Orton, Tmstee for the Arvilla Lorraine Orton 1*' Trust UA dtd 5/1/96 (a/c#LTQ-002571-N3) Byron Orton as Power of Attorney for Arvilla Lorraine Orton Names of the Respondents Capital Growth Financial, LLC d/b/a CGF Securities, LLC Alan Lawrence Jacobs Michael Sc

Award FINRA Dispute Resolution In the Matter ofthe Arbitration Between: Name of the Claimant Case Number: 06-03334 James O'Neii Garibaldi Names of the Respondents Hearing Site: New Orieans, Louisiana A. G. Edwards & Sons, inc. Scott Edward Foreman Nature ofthe Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For James O'Neii Garibaldi, hereinafter referred to as "Claimant": George F. Reiss, Esq.. Law Offices of G

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 08-00100 NBC Securities, Inc. Names of the Respondents Hearing Site: Birmingham, Alabama William Joseph McAleer, Jr. Meianie Purvis McAleer Asset Management, LLC Nature of the Dispute: Member vs. Associated Person and Member. REPRESENTATION OF PARTIES For NBC Securities, Inc., hereinafter referred to as "Claimant": John P. Scott, Jr., E

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant: Case Number: 06-00085 Roger Hanson Name of the Respondent: Hearino Site: Los Angeles, California Wachovia Securities, LLC Nature of the Dispute: Customer v. Member REPRESENTATION OF PARTIES Claimant, Roger Hanson, hereinafter referred to as "Claimant": Jordan K. Atzoff, Esq., Law Office of Jordan K. Atzoff, Santa Ana, California and Roger S. Hanson, Es

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant: Carole A. Lane Case Number: 03-06938 Name of Respondents: Hearing Site: Los Angeles, Louis B. Windawi, Clinton E. Maxwell, and California .American Express Financial Advisors Inc. (n/k/a Ameriprise Financial Services) Nature of the Dispute: Associated Person v. Member and Associated Persons REPRESENTATION OF PARTIES Claimant Carole A. Lane: Guy E. Mail

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-05269 Larry L. Graham Name of the Respondents Hearing Site: Denver, Colorado AFS Brol^erage, Inc., Kenneth E. Shade, Robert M. Gioia, Terry W. Hamann, and Donny Hurwitz Nature of the Dispute: Associated Person v. IVIember and Associated Persons REPRESENTATION OF PARTIES Claimant Larry L. Graham, hereinafter referred to as Claimant: M

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Robert Wells vs. Name of Respondent Banc One Securities Corporation Case Number: 07-01984 Hearing Site: Louisville, Kentucky NATURE OF THE DISPUTE Customer vs. Member REPRESENTATION OF PARTIES Robert Wells ("Claimant") was represented by Andrew Stoltmann, Esq., Stoltmann Law Offices, PC, Chicago, Illinois, until his notice of withdrawal on o