Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-02014 Jesse E. Daugherty Name of Respondent Hearing Site: Boca Raton, Florida FSC Securities Corporation Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Jesse E. Daugherty, hereinafter referred to as "Claimant": Alan L. Frank, Esq. and Kyle M. Kulzer, Esq., Alan L. Frank Law Associates, P.C., Elkins Park, Pennsyl

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-03144 Elizabeth M. Earley Names of the Respondents Hearing Site: Baltimore, Maryland Morgan Stanley DW Inc. Merrill Lynch, Pierce, Fenner & Smith, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Elizabeth M. Earley, hereinafter referred to as "Claimant": Debra G. Speyer, Esq., Philadelphia, Pennsylvania.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Donate Furlano Name of the Respondent Fidelity Brokerage Services, LLP Case Number: 05-06747 Hearing Site: Washington, D.C. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Donate Furlano, hereinafter referred to as "Claimant", appeared pro se. For Fidelity Brokerage Services, LLP ("Fidelity"), hereinafter referred to as

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Paul Farmer Claire Farmer Paul Farmer Trust U/A DTD 12/16/85 Claire Farmer Rev. Trust U/A DTD 9/2/03 Names of the Respondents Pershing LLC/ Div. of DLJ Sec. Corp. Raymond James & Associates, Inc. Raymond James Financial Services, Inc. Fareri Financial Services, Inc. Anthony J. Fareri Candace Sametini John Vasiliadis Case Number

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Dorothea LeFlore, Lily Cai, Christina D. Calvert, Nemiaya L. Ward, and Dawn M. Whitaker Claimants v. Solomon Smith Barney, Inc., a/k/a Smith Barney, Inc., n/k/a Citigroup Global Markets, Inc., Judy R. Ackerman, and Lisa A. Detanna Respondents Case Number: 03-04782 Hearing She: Los Angeles, California Nature of the Dispute: Associated Persons v. Member and Associated Persons • RE

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants Case Number: 02-07494 Frank E. Stachyra, Esq., and Ann M. Stachyra Name of the Respondents Hearing Site: Chicago, Illinois Salomon Smith Barney, Inc., n/k/a Citigroup Global Markets, Inc., and Jack Grubman consolidated with Name of the Claimants Case Number: 03-08719 Frank E. Stachyra, Esq., and Ann M. Stachyra Name of the Respondents Hearing Si

Award NASD DISPUTE RESOLUTION In the Matter of the Arbitration Between: Name of Claimant Case Number: 02-05482 B.M. Smith Names of Respondents Hearing Site: Tampa, Florida American Investment Services, Inc. Tom Kyro individually and as agent for American Investment Services, Inc. REPRESENTATION OF PARTIES For B.M. Smith, hereinafter referred to as "Claimant": J. Benton Stewart, n, Esq., The Stewart Law Group, P.L., Tampa, FL. Respondents

NASD" NASD Regulation, Inc. nB*»-i A-rm>. i Office or Dispute Resolution REGULATION 125 Broad Street * 36th Flow * New York. NY 10004-2193 * 212-858-4400 * Fax 212-858-4389 An NASD Company Satellite Office at 1735 K Street * 4th Floor " NW 'Washington, DC 20005-1606 ' 202-728-8958 * Fax 202-728-6952 N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 99-03034 Dianna J. Bein, claimant vs. E*Trade Securities, In

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Raymond L. Dirks (Claimant) v. Barry W. Blank (Respondent) Case Number: 02-05477 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Associated Person REPRESENTATION OF PARTIES Claimant, Raymond L. Dirks, hereinafter referred to as "Claimant": A. Joseph Tandet, Esq., New York, NY. Respondent, Barry W. Blank, hereinafter referred to as "Respondent": Barr

STIPULATED AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration between Michael and Rosemary Casseta v. Prudential Securities Incorporated and David Jainchill, NASD Arbitration No. 02-05462 REPRESENTATION OF PARTIES For Claimants, Michael Cassetta and Rosemary Cassetta: Howard Silverman, BrokerArb, Bridgewater, CT For Respondents, Prudential Equity Group, Inc. (formerly known as Prudential Securities, Inc.) ("PSI"), and