Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-01493 Merrill Lynch, Pierce, Fenner & Smith, Inc. Name of Respondent Hearing Site: Boca Raton, Florida James Alan Burnette Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Merrill Lynch, Pierce, Fenner & Smith, Inc. ("MLPFS"), hereinafter referred to as "Claimant": James P. McLaughlin, Esq., Rubin Fortuna

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-03437 Annie Stewart Names of the Respondents Hearing Site: Raleigh, North Carolina Bane of America Investment Services, Inc. John Stanley Meroney, Sr. Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Annie Stewart, hereinafter referred to as "Claimant": George Francisco, Esq., George Francisc

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Case Number: 05-04971 Ana Maria Calcagno Names of Respondents Hearing Site: Boca Raton, Florida Juan Carlos Costas Merrill Lynch, Pierce, Fenner & Smith, Incorporated Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Ana Maria Calcagno ("Calcagno"), hereinafter referred to as "Claimant": Frank P. Cuneo, Esq.,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Kathleen Chen, Claimant v. Morgan Stanley DW Inc., Henry Auwinger and Dennis Peterson, Respondents Morgan Stanley DW Inc., Henry Auwinger and Dennis Peterson, Third-Party Claimants v. Kumar Singh, Third-Party Respondent Case Number: 97-01738 Hearing Site: San Francisco. California Nature of the Disputes: Customer v. Member and Associated Persons Member and Associated Persons v.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: William N. DiDonato and William A. DiDonato (Claimants) v. Katie House/Bader, Dirks and Company, Inc., Jessy L. Dirks, and Security Capital Trading, Inc. (Respondents) Case Number: 03-03035 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Members and Associated Persons. REPRESENTATION OF PARTIES Claimants William N. DiDonato ("N. DiDonato") and William A. Di

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Mark Ostrowsky (Claimant) vs. First Hudson Financial Group, Inc., Izaill Ezekiel Fields and Luis Gabriel MacDonna (Respondents) Case Number: 05-00785 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant Mark Ostrowsky, hereinafter referred to as "Claimant": Bradford M. Gucciardo, Esq., Scarlett & G

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Douglas McMahan vs. Case Number: 05-06174 Hearing Site: Dallas, Texas Name of Respondent Citigroup Global Markets, Inc. NATURE OF THE DISPUTE Customer vs. Member REPRESENTATION OF PARTIES Douglas McMahan ("Claimant") was represented by Tricia L. Legittino, Esq., Simmons Cooper, LLC, East Alton, Illinois. Citigroup Global Markets, Inc. ("Respo

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Francis S. Happe vs. Name of Respondent A.G. Edwards & Sons, Inc. and Charles Trankler Case Number: 05-05847 Hearing Site: St. Louis, Missouri NATURE OF THE DISPUTE Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Francis S. Happe ("Claimant") was represented by Bruce D. Oakes, Esq., Oakes & Fosher, LLC, St.

Award NASD Dispute Resolution, inc. In the Matter of the Arbitration Between: Jimmy L. Shawver and Eveila J. Shawver, individually and as Trustees of the Jimmy L. Shawver and Eveila J. Shawver Revocable Trust Dated 12/5/94 Claimants v. Sigma Financial Corporation, Michael J. Brooks, Jerome S. Rydell, Genesis Financial Services Corporation, Robert W. Fergan, and Leann Fergan, and Respondents Case Number: 99-3362 Hearing Site: Southfield, Michigan

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-03215 Wachovia Securities, LLC Name of the Respondent Hearing Site: Boca Raton, Florida Jared Evan Fink Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Wachovia Securities, LLC, hereinafter referred to as "Claimant": Jonathan E. Levine, Esq., Law Office of Daniel S. Fiore, LLP, Arlington, Virginia. R