Award NASD Dispute Resolution. Inc. In the Matter of the Arbitration Between: Gregory P. Jourdan, Claimant v. Citicorp Investment Services, Inc., Respondent Case Number: 00-03346 Hearing Site: San Francisco, California REPRESENTATION OF PARTIES For Claimant: C. Mac McBride. Esq. Law Offices of C. Mac McBnde Vallejo, California For Respondent: Nancy Pritikin, Esq. Littler Mendelson, A Professional Corporation San Francisco, California CAS

Award NASD Dispute Resolution In the Matter of the Arbitration Between: pfrVif Plflimnnt f l fn»»Niim>yr- 00-03 1 52 William H. Moravek P f *- g p n pfor*' H f>ar ?n£ iSiTf Washington, D.C Merrill Lynch Pierce Fenner & Smith Inc Claimant, William H. Moravek ("Movavek"), hereinafter referred to as ''Claimant": Timothy B. Hyland, Esq., Leffler & Hyland, Fairfax, Virginia. Respondent, Merrill Lynch Pierce Fenner

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Alfred A. Gilbert Case No. 00-03201 Alex Osterneck Hearing Site- Philadelphia, PA OF PARTTFS Claimant, Alfred A. Gilbert ("Gilbert"), hereinafter referred to as "Claimant" represented himself at the hearing. Respondent, Alexander Osterneck ("Osterneck"), hereinafter referred to as "Respondent" did not appear at the hearing. Statement of Claim filed on: July 27,

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: First Albany Corporation, (Claimant) vs. Peter Shaughnessy, (Respondent) Case Number: 00-03239 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, First Albany Corporation, hereinafter referred to as "Claimant": Brian F. Mumford, Esq., Harvey and Mumford, Albany, NY. Respondent, Peter Shaughnessy, hereinafter referred to as "Respondent", did not appear at

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Names of Claimants George G. and Shirley Parella Case No. 00-03301 Hearing Site: Boca Raton, Florida Names of Respondents Kirlin Securities, Inc. Matthew Laurence Zimmerman REPRESENTATION OF PARTIES For George G. and Shirley Parella ("Parella") hereinafter collectively referred to as "Claimants": Frank J. Stanley, HI, Stanley, Powers & Matyola, Bridgewater, New

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Abraham Meisner, (Claimant) vs. Barren Chase Securities, Inc., Michael Weiss, Jacob Feder, and WF Capital, (Respondents) Case Number: 99-03374 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Abraham Meisner, hereinafter referred to as "Claimant": Gerald P. Gross, Esq., Law Offices of Gerald P. Gross, New York, NY. Claimant originally appeared pro se. R

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Royal Nielsen and 00-03124 Minneapolis, Minnesota Name of Respondents Biltmore Securities, Inc. Brian Edward Owens Elliott Loewenstem Richard Bronson REPRESENTATION O|? PARTIES Royal Nielsen ("Claimant") was represented by Kim Ruckdaschel-Haley, Esq., Lindquisl & Vennum, P.L.L.P., Minneapolis, Minnesota. Brian Edward Owens ("Responde

Award NASD In the Matter of the Arbitration Between: Carl Hanna and Mizie Hanna, Claimants v. CyberVest Securities, Inc., Respondent Case Number: 00-02480 Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For Carl Hanna and Mizie Hanna, hereinafter referred to as "Claimants": Layne Verebay, Layne Verebay, P.A., Fort Lauderdale, FL. For CyberVest Securities, Inc. ("CVS"), hereinafter referred to as "Respondent": William Chien, CVS, Brooklyn

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Manen Sutton, Claimant v. CyBerBroker aka CyBerCorp, Inc., Stephanie L. Brown and Penson Financial Services, Inc., Respondents Case Number: 00-03107 Hearing Site: Los Angeles. California REPRESENTATION OF PARTIES For Claimant Maren Suttton: For Respondents CyBerBroker aka CyBerCorp, Inc. and Stephanie L. Brown For Respondent Penson Financial Services, In

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Edward Almquist and Sally Almquist, Claimants v. Merrill Lynch, Pierce, Fenner & Smith Incorporated, Respondent Case Number: 05-03362 Hearing Site: Seattle, Washington Nature of the Dispute: Customers v. Member REPRESENTATION OF PARTIES For Claimants: Chris R. Youtz, Esq. Sirianni Youtz Meier & Spoonemore Seattle, Washington For Respondent: Curt R. Hineline, Esq. Dor