Award NASD Dispute Resolution In the Matter of the Arbitration Between: Eugene Ko, Claimant v. World Marketing Alliance, Inc., World Financial Group, Inc., WMA Securities, Inc., World Group Securities, Inc., Steeley H. Humphrey, Jr., Pei Ney Ooi, Yuh-Jiun Chen and Yvonne I. Mei, Respondents Yvonne I. Mei, Counter-Claimant v. Eugene Ko, Counter-Respondent Case Number: 03-02841 Hearing Site: San Francisco, California Nature of the Dispute: Associated Pers

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Michael J. Sullivan and Sarah S. Sullivan, Claimants v. Goldman, Sachs & Co., and Goldman Sachs Group, Inc., Respondents Case Number: 06-00825 Hearing Site: San Francisco, California Nature of the Dispute: Customers v. Member and Non-Member REPRESENTATION OF PARTIES For Claimants: Val D. Hornstein, Esq. Hornstein Law Offices, P.C. San Francisco, California For Respondent

Award NASD Dispute Resolution In the Matter of the Arbitration Between: ThinkEquity Partners LLC, Inc., Claimant v. Robert W. Baird & Co., Incorporated, Trace A. Urdan, Cornelia C. Weggen and Jeffrey S. Lee, Respondents Trace A. Urdan and Cornelia C. Weggen, Counter-Claimants v. ThinkEquity Partners LLC, Inc., Counter-Respondent Trace A. Urdan and Cornelia C. Weggen, Third-Party Claimants v. Ann Charlotte McCague, Third-Party Respondent Case Number

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Guy R. Cathcart and Patricia Cathcart Claimants v. Stephen M. Zanolli and Merrill Lynch, Pierce, Fenner & Smith Incorporated, Respondents Case Number: 04-02776 Hearing Site: San Francisco, California Nature of the Dispute: Customers v. Associated Person and Member REPRESENTATION OF PARTIES For Claimants: Gary R. Gleason, Esq. Farbstein & Blackman San Mateo, California Mi

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Eduardo Mariano and Bernice Mariano, Claimants v. Stipek Securities, LLC and Leslie C. Stipek, Respondents Case Number: 06-01073 Hearing Site: Los Angeles, California Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES For Claimants: For Respondents Stipek Securities, LLC and Leslie C. Stipek: Steven L. Miller, Esq. Law Offi

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-02844 David Larkin Annette Larkin Names of the Respondents Hearing Site: Boca Raton, Florida Morgan Stanley DW, Inc. DennisWitkowski Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For David Larkin ("D. Larkin") and Annette Larkin ("A. Larkin"), hereinafter collectively referred to as

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Patricia Engel Case No. 99-02996 Names of Respondents Lehman Brothers Inc. Alejandro G. Silva John Baragwanath REPRESENTATION OF PARTIES For Patricia Engel ("Engel"), hereinafter referred to as "Claimant": Clifford J. Bond, Esq. and Sigmund S. Wissner-Gross, Esq., Heller, Horowitz & Feit, P.C., New York, New York. For Lehman Brothers, Inc. (

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant gasej^unifcer: 03-02515 Steve Jager Naine of the Respondent Hearing Site: Atlanta, Georgia Prudential Securities Incorporated Nature of the Dispute: Customer vs. Member. REPRESENTATIpN OF PARTIES For Steve Jager, hereinafter referred to as "Claimant": M Clay Ragsdale, Esq., Ragsdale LLC, Birmingham, Alabama. For Prudential Securities Incorporated, he

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 06-02317 Brad and Shawn Stanton, (Claimants) vs. Merrill Lynch, Pierce, Fenner & Smith, Inc., (Respondent) ATTORNEYS: Claimants appeared pro se, Austin, TX, For Respondent appeared in-house counsel, Harry B. Frisch, Esq., New York, NY. NATURE OF DISPUTE: Customers vs. Member ~~~ DATE FILED: May 8,2006 CASE SUMMARY: Claimants alleged that Respondent added unauthorized fees to their a

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 06-02258 Wachovia Securities, LLC, (Claimant) vs. Catherine C. Hale, (Respondent) ATTORNEYS: For Claimant appeared in-house counsel Douglas D. Callaway, Esq., Richmond, VA. Respondent did not submit an Answer to the Statement of Claim. NATURE OF DISPUTE: Member v. Customer DATE FILED: May 5, 2006 CASE SUMMARY: Claimant alleged that Respondent breached a contract by failing to repay moni