Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-01992 Overseas Investment Group Names of the Respondents Hearing Site: Boca Raton, Florida Wall Street Electronica, Inc. Herzog, Heine, Geduld, Inc. Carlos Francisco Otalvaro Carlos Noe Otalvaro Nature of the Dispute: Customer vs. Member & Associated Person. REPRESENTATION OF PARTIES For Overseas Investment Group, hereinafter refe

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-00581 Michael W. Tyre Names of the Respondents Hearing Site: Baltimore, Maryland Merrill Lynch, Pierce, Fenner & Smith Adrian Judson Force Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Michael W. Tyre, hereinafter referred to as "Claimant": Brian C. Parker, Esq., Parker, Dumler

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Charles DeMartini, Claimant v. Manuel "Sonny" Arias, Steven D. Hotovec, Hotovec, Pomeranz & Co., Inc. a/k/a Hotovec, Pomeranz & Co., LLC and HPC Ventures, LLC, Respondents Manuel "Sonny" Arias, Cross-Claimant v. Hotovec, Pomeranz & Co., Inc. a/k/a Hotovec, Pomeranz & Co., LLC, HPC Ventures, LLC and Steven D. Hotovec, Cross- Respondents Manuel "Sonny" Arias, Third-Party Claimant

Award NASD Dispute Resolution In the Matter of the Arbitration Between: CWH Wholesale, a sole proprietorship of Yosuf M. Abedi, Claimant v. Charles Schwab & Co., Inc., Respondent Case Number: 03-00379 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member REPRESENTATION OF PARTIES For Claimant: Daniel B. Spitzer, Esq. Law Offices of Daniel B. Spitzer Encino, California For Respondent: Richard A. Karoly, Esq. Char

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Electronic Trading Group, LLC, Claimant v. Andover Brokerage, L.L.C., Spectrum Capital Partners, Jeffrey P. Gradinger, Matthew A. White, Jason M. Saxon, Frank L. Hernandez, Jr. and Rakesh K. Patel, Respondents Case Number: 01-04211 Hearing Site: San Francisco, California Nature of the Dispute: Member v. Member, Non-Member and Associated Persons REPRESENTATION OF PARTIES For Clai

Amended Award NASD Dispute Resolution In the Matter of the Arbitration Between: Audrey Snaps Revocable Trust dtd 9/5/91, Claimant v. Albert D. Adam, Respondent Case Number: 06-00971 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Associated Person REPRESENTATION OF PARTIES For Claimant: Audrey Shaps In Propria Persona Thousand Oaks, California For Respondent: Judy Louie, Esq. Wachovia Securities, LLC Pasadena, Ca

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Barbara J. Owens, Claimant v. Merrill Lynch, Pierce, Fenner & Smith, Incorporated and Caesar A. Cepeda, Respondents Case Number. 05-05020 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Peter L. Steinman, Esq. Gaims, Weil, West & Epstein, LLP Los Angeles, California For Resp

Amended Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Ibrahim Khan, Claimant v. Citigroup Global Markets Inc. f/k/a Salomon Smith Barney Inc. and John D. Bacich, Respondents Case Number: 05-01031 Hearing Site: Los Angeles. California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Douglas A. Ames, Esq. Law Office of Douglas A. Ames Huntington Beach, Cali

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Walter A. Bonner vs. Case Number: 06-00780 Hearing Site: Dallas, Texas Names of Respondents Linsco/Private Ledger Corp. and Greg Froning NATURE OF THE DISPUTE Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Walter A. Bonner ("Claimant") was represented by Robert E. Karoly, Investor Recovery Specialists, Inc., Savannah, Geo

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant/Counter-Respondent Citigroup Global Markets, Inc. vs. Case Number: 05-06527 Hearing Site: Troy, Michigan Name of Respondent/Counter-Claimant Steven Mosshart NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES Citigroup Global Markets, Inc. ("Claimant") was represented by Todd A. Holleman, Esq., Miller, Canfield, Paddock a