NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Anthony Mallilo 96-04310 Name of Respondents Landmark International Equities Craig S. Redding Eric J. Aronson William Nunziato REPRESENTATION For Claimant Anthony Mallilo ("Claimant") appeared Jeffrey M. Blum, Esq., of the law offices Mallilo & Grossman located in Flushing, New York. For Respondents Landmark International Equities ("Landmark") a

AWARD- NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Invest Financial Corporation, Claimant, and No. 96-05177 Frank Clement, Jr., Respondent. REPRESENTATION OF PARTIES Claimant Invest Financial Corporation ("Claimant") was represented by Craig W. Horn, Esq. of Braun Kendrick Finkbeiner P.L.C. located in Saginaw, Michigan. Respondent Frank Clement, Jr. ("Respondent") did not appear in this matter

AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name_of Claimant Jerrold Grccu v - Arbitration No. 96-05509 Name of Respondents Charles Schwab & Co.. Inc.. John Yoshitakc. Diane Song, and Cecilia Corral REPRESENTATION For Claimant: Jerrold Grccu In Pro Per Manhattan Beach, California For Respondents. Thomas E. Hill. Hsq. Thelen. Morrin. Johnson & Bridges. LLP Los

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Zakaria Suid 96-05682 Names of Respondents First Hanover Securities, Inc. Societe Generale Securities Corp. Name of Third-Party Respondent Joseph Ballard REPRESENTATION For Claimant Zakaria Suid ("Suid"): Andrew L. Capdeville, Esq. of Andrew L. Capdeville, P.C., St. " Thomas, U.S. Virgin Islands. Fo

Award COPY NASD Dispute Resolution In the Matter of the Arbitration Between: Wells Fargo Investments, LLC, Claimant v. Marty M. Martinez, Respondent Marty M. Martinez, Counter-Claimant v. Wells Fargo Investments, LLC, Counter- Respondent Marty M. Martinez, Third Party Claimant v. James B. Coon, Third Party Respondent Case Number: 05-03326 Hearing Site: Las Vegas, Nevada Nature of the Dispute: Member v. Associated Person Nature of the Dispute: Associ

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Jeanne A. Lufrano, and Joan Marchant as Trustee for the John J. Lufrano Unified Credit Trust (Claimants) vs. Kirlin Securities inc. and Edward P. Deicke (Respondents) Case Number: 05-03318 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Claimants Jeanne A. Lufrano ("J. Lufrano"), and Joan Marchan

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Dawn Bennett Case No. 99-02239 - Name of Respondents Wheat First Union, Inc. (n/k/a First Union Securities, Inc.) William R. Butler Jonathan M. Harris Carlton M. Collins Hearing Location: Washington, D.C. REPRESENTATION OF PARTIES Claimant, Dawn Bennett ("Bennett"): Woodley Osborne, Esq., Osborne & Deutsch, Washington, DC, and Eric L. Si

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Janice Lynn Griffin, Claimant, Case Number: 05-03270 Hearing Site: Milwaukee, Wisconsin v. Freedom Investors Corporation, James Fay and Hans Wegesser, Respondents. Nature of the Dispute: Customer vs. Member Firm and Associated Persons REPRESENTATION OF PARTIES Janice Lynn Griffin, ("Griffin"), hereinafter referred to as "Claimant": Thomas F. Burke, Esq. of Th

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Robert H. Stackpole, MD (Claimant) vs. Merrill Lynch, Pierce, Fenner, & Smith, Inc., Marshall A. Leber, and Joseph Berkery (Respondents) Case Number: 05-03207 Hearing Site: Newark, New Jersey Nature of the Dispute: Customer vs. Member and Associated Persons REPRESENTATION OF PARTIES Claimant Robert H. Stackpole, MD hereinafter referred to as "Claimant": Brian Guillorn,

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Richard Perez and Case Number: 05-03113 Hearing Site: Houston, Texas Name of Respondent A.G. Edwards & Sons, Inc. NATURE OF DISPUTE Customer v. Member Firm REPRESENTATION OF PARTIES Richard Perez ("Claimant") was represented by Samuel B. Edwards, Esq., Shepherd, Smith & Edwards, LLP, Houston, Texas. A.G. Edwards & Sons, Inc. ("Respondent") was