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urham (ITAX Jessup & Lamont Empire Capital Rochdales Securities Bu)side WInom:reek Laums Vision Capital Special Situations Barron Partners Yorkville 'frinad The winnowing of broker-dealers which ere active in the Small & Mid Cap ------ c'sector has dramatically altered the - competitive lands
Galloway Partners Introduction EFTA02672819 Contents Executive Summary 3 Market p port u rat-y Strateg Lxecution I I Track Record: Bruce Galloway 11 cISL,
nshaw Willowcreek First Montauk Laurus First Tennessee Vision Capital V Finance Special Situations Gleecher Barron Partners Think Equities Yorkville Pali Capital Trinad Morgan Joseph Merriman Curham GTAX Jessup & Lamont Empire Capital Rochdales Securities • The winnowing of broker-dealers
Galloway Partners Introduction O.ber.13..0 EFTA00505780 Contents Executive Summary 3 Market Opportunity 6 Strategy & Execution 11 Track Record: Bruce Gallo
nshaw Willowcreek First Montauk Laurus First Tennessee Vision Capital V Finance Special Situations Gleecher Barron Partners Think Equities Yorkville Pali Capital Trinad Morgan Joseph Merriman Curham GTAX Jessup & Lamont Empire Capital Rochdales Securities • The winnowing of broker-dealers
Galloway Partners Introduction O.ber.13 v3.0 EFTA00505807 This presentation is for discussion purposes only, for use by its authors and those who have been furni
Entities connected to both Yorkville and Galloway Partners

Anne Hathaway
PERSONWestern US
LOCATIONBarron Partners
ORGANIZATIONPali Capital
ORGANIZATIONEugene Kim
PERSONthe Tech/Telcom
ORGANIZATIONConsumer Retail
ORGANIZATIONHealthcare Services and Business Services
ORGANIZATIONthe Small and Micro
ORGANIZATIONLISTCO
ORGANIZATIONMgmt Co.
ORGANIZATIONUltra Micro
ORGANIZATIONEmpire Capital
ORGANIZATIONthe Small & Mid Cap
ORGANIZATIONMid-Large Caps
ORGANIZATIONpre-Lehman
ORGANIZATIONM-Value
ORGANIZATIONCatalysts/News
ORGANIZATIONEV/Book Value
ORGANIZATIONDeep Value
ORGANIZATION