Award NASD Dispute Resolution In the Matter of the Arbitration Between: Michael Keane (Claimant) vs. Morgan Stanley DW, Inc. and John McGrane (Respondents) Case Number: 06-00676 Hearing Site: Newark, New Jersey Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant Michael Keane hereinafter referred to as "Claimant": Devanshu L. Modi, Esq., Lyon, Glassman, Leites & Modi, LLC, Florham Park, NJ. Respond

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Dr. James J. Main (Claimant) vs. Joseph Stevens & Company (Respondent) Case Number: 06-00242 . Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant Dr. James J. Main hereinafter referred to as "Claimant": David E. Robbins, Esq., Kaufmann, Feiner, Yamin, Gildin, & Robbins, New York, NY. Respondent Joseph Stevens & Company

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Alvin T. Greenspan and Edith W. Greenspan (Claimants) v. Fidelity Brokerage Services, LLC (Respondent). Case Number: 05-06681 Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Customers vs. Member REPRESENTATION OF PARTIES Claimants Alvin T. Greenspan ("A. Greenspan") and Edith W. Greenspan ("E. Greenspan") hereinafter collectively referred to as "Claimants": Norma

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Christopher Bibow (Claimant) v. Merrill, Lynch, Pierce, Fenner & Smith, Inc. (Respondent) Case Number: 05-05940 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Christopher Bibow hereinafter referred to as "Claimant": Edward H. Glenn, Jr., Esq., Zamansky & Associates, LLC, New York, New York.

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Barclay Investments, Inc., (Claimant) vs. Robert G. Palmeiro and Robert J. Eldridge, (Respondents) Case Number: 99-02311 Hearing Site: Boston, Massachusetts REPRESENTATION OF PARTIES Claimant, Barclay Investments, Inc., hereinafter referred to as "Claimant": Kevin M. Brill, Esq., Peabody & Brown, Providence, RI. Respondent, Robert G. Palmeiro ("Palmeiro"): Barry J. Kusinic

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Cynthia Baynes (Claimant) v. A. Roger Boriel and A.G. Edwards & Sons, Inc. (Respondents). , Case Number: 05-05823 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant Cynthia Baynes hereinafter referred to as "Claimant": Gary G. Staab, Esq., Law Office of Gary Staab, White Plains, NY. Respondents

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Gregory Gentile (Claimant) vs. Tanstaafl Research & Trading LLC (DBA Stonehenge Trading LLC) (Respondent) Case Number: 05-05054 Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Associated Person vs. Non-Member. REPRESENTATION OF PARTIES Claimant Gregory Gentile hereinafter referred to as "Claimant": Norman M. Valz, Esq., Norman M. Valz & Associates, P.C., Philadel

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Richard M. Techtmann and Monica D. Techtmann (Claimants) v. Merrill Lynch & Co., Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated, and Michael Payne (Respondents) Case Number: 05-04870 Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Customers v. Member, Non-Member, and Associated Person. REPRESENTATION OF PARTIES Claimants Richard M. Techtmann and Mon

Award NASD Dispute Resolution In the Matter of the Arbitration Between: HMD Capital Management (Claimant) vs. Thinkequity Partners, LLC (Respondent) Case Number: 05-02909 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant HMD Capital Management hereinafter referred to as "Claimant": Robert Bertsch, Esq., Bertsch & Associates, Port Washington, NY. Respondent Thinkequity Partners, LLC, Benja

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Wayne V. and Sandra A. Fassett and the Wayne V. Fassett IRA (Claimants) vs. Park Avenue Securities, LLC (Respondent) Case Number: 05-02780 Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Customers vs. Member. REPRESENTATION OF PARTIES Claimants Wayne V. and Sandra Fassett and the Wayne V. Fassett IRA, hereinafter collectively referred to as "Claimants": John J. M