Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-01589 Timothy R. Martin Name of the Respondent Hearing Site: Richmond, VA Scott & Stringfellow, Inc. Nature ofthe Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES For Timothy R. Martin, hereinafter referred to as "Claimant": Eric A. Welter, Esq., Welter Law Firm. P.C, Herndon, VA. For Scott & Stringfellow. Inc. ("SSI"

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Goldendale Investments, LTD and Silverstein Investments, LTD (Claimants) vs. John Harvey Jessum, Nicole Christine Clark-AKE, Penson Financial Services, Inc., Great Eastern Securities, Inc., and David Eric Niederkrome (Respondents) Case Number: 05-05919 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Associated Persons and Members. REPRESENTATION OF PARTIES

stipulated Award FINRA Dispute Resolution In the Matter ofthe Arbitration Between: Helen Wolff, Individually and as Beneficiary and Co-Trustee ofthe Helen Wolff Revocable Trust, and Through her Attorney-in-Fact, Norbert Wolff (Claimants) v. First Montauk Securities Corp., d/b/a First Montauk Financial Group, Patrick T. Flanagan, Ernest Mark Caponegro, William Jacob Kurinsky, Robert Ira Rabinowitz, and Herbert Kurinsky (Respondents) Case Number: 04-05843

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-00690 Skips A/S Lodd, ("Claimant") vs. Harrison Securities, Inc. and Jason Pinsky, ("Respondents") ATTORNEYS: Claimant appeared pro se, Oslo, Non/vay. For Respondent Jason Pinsky appeared Michael Utilla, Esq., ofthe firm The Law Office of Utilla & Associates, Brooklyn, NY. Respondent Harrison Securities, Inc. did not submit an Answer to the Statement of Claim. NATURE OF DISPUTE

AWARD FINRA Dispute Resolution In the Matter ofthe Arbitration Between: Name of Claimant/Counter-Respondent Banc of America Investment Services, Inc. vs. Name of Respondent/Counter-Cialmant Michael Hampton Case Number: 06-03670 Hearing Site: St. Louis, Missouri NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES Banc of America Investment Services, Inc. ("Claimant" or "Banc of America") was represented by

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: John S. Rendall, Claimant v. Merrill Lynch, Pierce, Fenner & Smith Incorporated, Respondent Case Number: 07-00758 Hearing Site: Albuquerque, New Mexico Nature of the Dispute: Customer v. Member REPRESENTATION OF PARTIES For Claimant: Michael W. Wile, Esq. Vogel Campbell & Blueher, P.C. Albuquerque, New Mexico For Respondent: Charles A. Gall, Esq. Hunton & Williams,

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-01760 Richard E. Littell, ("Claimant") vs. Keith Connolly, CRD #2667382, Vision Securities, Inc., CRD #35001 and William Mancusi, ("Respondents") ATTORNEYS: Claimant/Counterclaim Respondent appeared pro se, Mansfield, TX. For Respondent/Counterclaim Claimant Keith Connolly appeared Harry J. Delagrammatikas, Esq., of the firm McCormick & O'Brien, LLP, New York, NY. Respondent Vision Sec

FINRA DISPUTE RESOLUTION STIPULATED AWARD FINRA DISPUTE RESOLUTION CASE: 07-01506 Mesirow Financial, Inc., ("Claimant") vs. John Francis Holoubek, Jr., ("Respondent") ATTORNEYS: For Claimant appeared in-house counsel, A. Brad Busscher, Snr., MD, Chicago, IL. Respondent did not submit an Answer to the Statement of Claim. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: May 10, 2007 CASE SUMMARY: Claimant alleged that Respondent failed to re

FINRA DISPUTE RESOLUTION AWARD FINRA DISPUTE RESOLUTION CASE: 07-02035 Clark Dodge & Co., Inc. ("Claimant") vs. James D. Rossi ("Respondent") ATTORNEYS: For Clark Dodge & Co., Inc. appeared Randle B. Carpenter, Esq., Larchmont, NY Respondent James D. Rossi did not submit an answer to the Statement of Claim. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: July 11, 2007 CASE SUMMARY: Claimant alleged that Respondent failed to repay a loan o

Award FINRA Dispute Resolution In the Matter of the Arbitration BebA/een: Name of the Claimant RBC Dain Rauscher, Inc. Name of the Respondent Thomas Mitchell Case Number: 07-01608 Hearing Site: Columbia, South Carolina Nature of the Dispute: Member vs. Customer. REPRESENTATION OF PARTIES For RBC Dain Rauscher, Inc., hereinafter referred to as "Claimant": Carolyn Guy, Esq., RBC Dain Rauscher, Inc., Minneapolis, Minnesota. Thomas Mitch