AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Larry E. Sandburg, Individually and Larry E. Sandburg as beneficiary of Delaware Charter Guaranty & Trust Company, f/b/o Larry E. Sandburg IRA and Case Number: 02-02808 Hearing Site: Omaha, Nebraska Names of Respondents Donald & Company Securities, Inc., and Bruce L. Troyer REPRESENTATION OF PARTIES Larry E. Sandburg, Individually and Larry

Modified Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Frank Vina, Diana Vina, and Leanna Vina, (Claimants) vs. Sherwood Securities Corp. a/k/a NDB Capital Markets, Suretrade, Inc., Fleet Securities, Inc., and FleetBoston Robertson Stephens, Inc., (Respondents) Case Number: 00-01202 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Frank Vina ("F. Vina"), Diana Vina ("D. Vina"), and Leanna Vina ("L. Vi

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Dr. Herbert L. Bircoll, individually and on behalf of STC GUST IRA f/b/o Herbert L. Bircoll and Respondents Linsco/Private Ledger Corp., and Timothy E. Zimcosky Case Number: 04-00211 Hearing Site: Detroit, Michigan NATURE OF DISPUTE Customer v. Member and Associated Person REPRESENTATION OF PARTIES Dr. Herbert L. Bircoll, individual

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Deanna D'Amato Hohmann, Individually and as Executrix of the Estate of Rose Laccitiello (Claimants) vs. Prudential Equity Group, Inc. f/k/a Prudential Securities, Inc. and Michael D. Lereah (Respondents) Case Number: 05-05198 Hearing Site: Newark, New Jersey Nature of the Dispute: Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Claimants Deanna D'

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Pythia Finance Corp. (Claimant) vs. Prudential Equity Group, LLC f/k/a Prudential Securities and Anthony Sica (Respondents) Case Number: 05-03469 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant Pythia Finance Corp. hereinafter referred to as "Claimant": John T. McGuire, Esq., John T.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Paul S. Dare and LoriAnn Dare (Claimants) vs. Morgan Stanley DW Inc. (Respondent) Case Number: 05-02829 Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Customers vs. Member. REPRESENTATION OF PARTIES Claimants Paul S. Dare ("P. Dare") and LoriAnn Dare ("L Dare"), hereinafter collectively referred to as "Claimants": Debra G. Speyer, Esq., Law Office of Debra Speyer, B

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Wachovia Securities, LLC (Claimant) vs. Theodore Thiro (Respondent) Case Number: 04-08309 Hearing Site: New York, New York Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Wachovia Securities, LLC ("Wachovia"), hereinafter referred to as "Claimant": John E. Jenkins, Esq., Lubiner & Schmidt, Cranford, NJ. Respondent Theodore Thiro ("Thiro"),

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Richard McLoone (Claimant) vs. Chicago Investment Group, L.L.C., Michael Delcervo, Michael Kalfa, Frank Lunn, and Richard Lynch (Respondents) Case Number: 04-06871 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant Richard McLoone hereinafter referred to as "Claimant": James E. Nealon, E

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Marc Marcou, Brent McTaggart, Matthew Chin, Frank Marasco, Sam Escodero, John Ryan, Gabriel D. Simon, Terrance Wood, and Shahid Malik (Claimants) vs. Patterson Travis, Inc., Judah Wernick, Stephen M. McNeely, David Travis, and Patterson Travis Operating Account, Inc. (Respondents) Case Number: 99-02778 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, M

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Joseph Esposito (Claimant) v. Wachovia Securities Financial Network, Inc. (Respondent) Case Number: 04-00103 Hearing Site: New York, New York Nature of the Dispute: Associated Person v. Member. REPRESENTATION OF PARTIES Claimant Joseph Esposito hereinafter referred to as "Claimant": David B. Wechsler, Esq., and Debora A. Pitman, Esq., Wechsler & Cohen, LLP, New York,