Award NASD Dispute Resolution In the Matter of the Arbitration Between: Nora Curley (Claimant) vs. Signator Investors, Inc. and Richard Brief (Respondents) Case Number: 06-01393 Hearing Site: Newark. New Jersey Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant Nora Curley hereinafter referred to as "Claimant": Debra G. Speyer, Esq., The Law Office of Debra Speyer, Bala Cynwyd, PA. Previously represented

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 06-00743 McGinn, Smith & Co., Inc., (Claimant) vs. Rhonda Fishman, (Respondent) ATTORNEYS: For Claimant appeared in-house counsel David L. Smith, Esq., Albany, NY. For Respondent appeared Brian H. Reis, Esq., of the firm Law Offices of Brian Reis, New York, NY. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: February 14, 2006 CASE SUMMARY: Claimant alleged that Respondent bre

08/07/2003 15:58 FAX NASD @]010/014 Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Franciszksa Ciochon and Janusz Ciochon, (Claimants) vs. Zbigniew Jerry Markowski and Securities America, Inc., (Respondents). Case Number: Hearing Site: 99-02516 Chicago, Illinois REPRESErJTATlQN OF PARTIES Claimants, Franciszksa Ciochon and Janusz Ciochon, hereinafter collectively referred to as "Claimants": Kenneth F, Berg, Esq., C

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Greenwhich Global, LLC (Claimant) vs. William Michael Banks, Stephen Jay Landa and John William Engelskirger (Respondents) Case Number: 06-00317 Hearing Site: New York, New York Nature of the Dispute: Member vs. Associated Persons REPRESENTATION OF PARTIES Claimant Greenwhich Global, LLC hereinafter referred to as "Claimant": Hilary B. Miller, Esq., Hilary B. Miller,

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-06602 R.L. Burgess and Linda J. Burgess, (Claimants) vs. Legg Mason Wood Walker, Inc. and Joseph Glen Laird, (Respondents) ATTORNEYS: —— For Claimants appeared Edward W. Russey, III, Esq., of the firm the Law Offices of Edward W. Russey, III, Laguana Hills, CA. For Respondents appeared in-house counsel Gretchen L. Klebasko, Esq., Baltimore, MD. NATURE OF DISPUTE: Customers v,-Member

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Elser & Co. (Claimant) vs. Bear Stearns Securities Corp. (Respondent) Case Number: 05-05741 Hearing Site: New York. New York Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant Elser & Co. hereinafter referred to as "Claimant": Jacqueline I. Meyer, Esq., Hodgson Russ LLP, New York, NY. ' Respondent Bear Stearns Securities Corp. hereinafter referred to a

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Jeffrey D. Korzenik (Claimant) v. Citigroup Global Markets, Inc. (Respondent) Case Number: 05-05046 Hearing Site: Boston, Massachusetts Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Jeffrey D. Korzenik hereinafter referred to as "Claimant": Stacy Nakasian, Esq., and Robert M. Duffy, Esq., Duffy, Sweeny & Scott, Ltd., Providence, Rl. Prev

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Pruco Securities, LLC, Prudential Insurance Company of America, and Prudential Insurance Brokerage, Inc. (Claimants) v. Bryan R. Ardite (Respondent) Case Number: 05-04990 Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Members and Non-Member vs. Associated Person. REPRESENTATION OF PARTIES Claimants Pruco Securities, LLC ("Pruco"), Prudential Insurance Company of

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Mitchell Slater (Claimant) vs. Merrill Lynch, Pierce, Fenner & Smith, Inc. and Thomas Fickinger (Respondents) Case Number: 05-04072 Hearing Site: Newark, New Jersey Nature of the Dispute: Associated Person vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant Mitchell Slater hereinafter referred to as "Claimant": Brian J. Neville, Esq., Law Offices of Brian J. Nevi

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Stuart Fromm (Claimant) vs. ING Funds Distributor, LLC, Lauren Bensinger, Robert J. Boulware, Bayard Closser, John Heilner and Richard Jiminez (Respondents) Case Number: 05-03426 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant Stuart Fromm hereinafter referred to as "Claimant": Kenneth A.