NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Paine Webber, Inc. 97-00502 Name of Respondent Martin F. Schneider REPRESENTATION For Claimant PaineWebber, Inc. ("Claimant") appeared Stephanie Morse-Shamosh, Esq., internal representation for PaineWebber, Inc. located in Weehawken, New Jersey. Respondent Martin F. Schneider ("Respondent") appeared pro se. CASE INFORMATION Claimant's Statement of C

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Scottrade, Inc. (Claimant) vs. Babak Assadi (Respondent) Case Number: 06-02470 Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant Scottrade, Inc. hereinafter referred to as "Claimant": Thomas E. Douglass, Esq., Kenton E. Knickmeyer, Esq., and Thomas L. Azar, Jr., Esq., Thompson Coburn LLP, St. Louis, MO

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 06-02444 Sanjana Goyle, (Claimant/Counterclaim Respondent) vs. Interactive Brokers, LLC, (Respondent/Counterclaim Claimant) ATTORNEYS: Claimant/Counterclaim Respondent t appeared pro se, Sacramento, CA. For Respondent/Counterclaim Claimant appeared in-house counsel John Nielands, Washington, DC. NATURE OF DISPUTE: Customer vs. Member DATE FILED: May 10, 2006 CASE SUMMARY: Claimant/C

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Milestone Financial Services, Inc. and Masterpiece Management, Inc. (Claimants) vs. Kenneth Dwyer (Respondent) Case Number: 05-05653 Hearing Site: New York, New York Nature of the Dispute: Member and Non-Member vs. Associated Person REPRESENTATION OF PARTIES Claimants Milestone Financial Services, Inc. ("Milestone") and Masterpiece Management, Inc. ("Masterpiece") hereinafter co

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Alice C. Salzberg (Claimant) v. Sage Rutty & Co., Inc. and Douglas Parker (Respondents) Case Number: 05-03906 Hearing Site: Buffalo, New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Alice C. Salzberg hereinafter referred to as "Claimant": Douglas A. Foss, Esq. Harris Beach PLLC, Rochester, NY. Respondent

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Gary L. Black (Claimant) v. CUNA Brokerage Services, Inc. and Emmor E. Boslet (Respondents) Case Number: 05-03167 Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Gary L. Black hereinafter referred to as "Claimant": Rob Bleecher,, Pecht & Associates, PC, Mechanicsburg, PA. Respondent

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Paul Brennan and Paul Brennan IRA (Claimants) v. Mary Ellen Kay and Prudential Securities, Inc., n/k/a Prudential Equity Group (Respondents) Case Number: 04-04021 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Associated Person and Member. REPRESENTATION OF PARTIES Claimant Paul Brennan ("P. Brennan") and Paul Brennan IRA ("P. Brennan IRA") hereinafter col

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Harvey Kazatsky and Marsha Kazatsky vs. Tucker Anthony n/k/a RBC Dain Rauscher, Inc. and Robert Haber Case Number: 04-03507 Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Claimants Harvey Kazatsky and Marsha Kazatsky, hereinafter collectively referred to as "Claimants": Darren C. Blu

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Dr. Richard D. Eiceman IRRA FBO, Dr. Richard D. Eiceman, Dr. Richard D. Eiceman and Janet S. Eiceman (Claimants) v. Benjamin B. Shankroff and Merrill Lynch, Pierce, Fenner & Smith Incorporated (Respondents) Case Number: 04-00452 Hearing Site: Philadelphia, Pennsylvania Nature of Dispute: Customers v. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Dr

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Esther Jahng and Liang-Er Lai, Claimants v. Martin Yung-Shu Fang, Amerivet Securities, Inc., Bluestone Securities, Inc. n/k/a Bestrade, Inc., Mark Chengpin Lee, and Hong Yi Sun, Respondents ' Case Number: 99-02881 Hearing Site: Los Angeles, California Nature of the Dispute: Customers v. Members and Associated Persons 1 ' i REPRESENTATION OF PARTIES For Claimants: