Award NASD Dispute Resolution In the Matter of the Arbitration Between: Sal and Elias Tacher (Claimants) v. U.S. Securities & Futures Corp., Alan Saretsky, and John King (Respondents) Case Number: 99-02879 Hearing Site: New York, New York Nature of the Dispute: Customers v. Member, Non-Member, and Associated Person. REPRESENTATION OF PARTIES Claimants Sal and Eiias Tacher ("The Tachers") hereinafter collectively referred to as "Claimants": Randy S.

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant William R. Winter, Jr. and 00-01044 Minneapolis, Minnesota Name of Respondents Barren Chase Securities Sean M. Zausner REPRESENTATION OF PARTIES William R. Winter, Jr. ("Claimant") was represented by Albert A. Woodward, Esq., Leonard Street and Deinard, P.A., Minneapolis, Minnesota. Barren Chase Securities ("Respondent Barron Chase") was rep

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 05-04646 Larry Rinker Michael McKnight Mark Wiebe Jason Bateman and, Steve Axman, each individually and each on behalf of any of their retirement accounts, trusts, etc. used to invest in Red Coat Capital Partners III Names of the Respondents Hearing Site: Orlando, Florida CIBC World Markets Corp. Oppenheimer & Co. a/k/a Fahnest

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Janet J. Barry Patricia Cheramie Ned A. Cole The John Desmond Rollover IRA Dave Humphreys Roy S. and Cathy D. Hunt Dr. Morris J. Kloor, Jr. Bertram J. Levey The Bertram J. Levey IRA/SEP Marian C. Levey Sydney M. McBride Dolores T. Petrie Hattie Lou Randall The Otto A. Rees Rollover IRA Michael and Naomi Ricca Robin B

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Lloyd Rothschild Names of the Respondents Wachovia Securities, LLC f/k/a First Union Securities George W. Holden, III Case Number: 05-00613 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Lloyd Rothschild, hereinafter referred to as "Claimant": Willia

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 05-00234 Morton E. "Woody" Wolverton Name of the Respondent Hearing Site: Tampa, Florida Robert W. Baird & Co., Inc. Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES For Morton E. "Woody" Wolverton, hereinafter referred to as "Claimant": William T. Kirtley, Esq., William T. Kirtley, P.A., Sarasota, Florida.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-07605 Faye Hurwich, Individually and as Trustee of the benefit of the Fay Hurwich Revocable Trust, under Declaration of Trust dated Novembers, 1991 Names of Respondents Hearing Site: Boca Raton, Florida Robert Keith Berger Jonathan Roberts Financial Group, Inc. f/k/a Alliance Capital Management, Inc. Southern Capital Securities, I

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 04-07417 Loretta K. Davolos Tricia E. Davolos Names of the Respondents Hearing Site: Orlando, FL Park Financial Group, Inc. Ty Evans Gordon Cantley National Clearing Corporation Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Loretta K. Davolos and Tricia E. Davolos, hereinafter c

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Susanne K. Fellinger 95-04162 Name of Respondent DG European Securities Corporation REPRESENTATION For Claimant, Susanne K. Fellinger, appeared David E. Potter, Esq., of the law firm of Lazare, Potter & Giacovas located in New York City, New York. For Respondent, DG European Securities Corporation, appeared Deidre F. Curtis, Es

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant Gregory Plotkin Name of Respondents Biltmore Securities, Inc., Howard Gostfrand and Paul L. Burton REPRESENTATION For Claimant: Deborah Klar, Esq. Miller & Holguin Los Angeles, California For Respondents: Peri Erlanger Bernstein & Wasserman New York, New York CASE INFORMATION Statement of Claim filed: Augu