NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 06-00902 GunnAllen Financial, Inc., (Claimant) vs. Lawrence Helbringer, (Respondent) ATTORNEYS: For Claimant appeared Michael S. Colombo, President and CEO of the firm StreetWide Asset Recovery Group, Inc., Lyndhurst, NJ. Respondent did not submit an Answer to the Statement of Claim. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: February 21, 2006 CASE SUMMARY: Claimant alle

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Helen Elliott Family Irrevocable Trust, Richard D. Wallace, Trustee (Claimant) vs. UBS Financial Services, Legg Mason Wood Walker, Christopher J. Roering and Mark Cote (Respondents) Case Number: 06-00441 Hearing Site: Boston, Massachusetts Nature of the Dispute: Customers vs. Members and Associated Persons. REPRESENTATION OF PARTIES Claimant Helen Elliott Family Irrevocable Trus

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Morgan Stanley DW, Inc. (Claimant) vs. Jason Briggs (Respondent) Case Number: 05-05985 Hearing Situs: New York, New York Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Morgan Stanley DW, Inc., hereinafter referred to as "Claimant": Phillip J. Campisi, Esq., Westerman Ball Ederer Miller & Sharfstein, Mineola, NY. Respondent Jason Briggs he

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Morgan Stanley DW Inc. (Claimant) vs. Daniel V. Scouler (Respondent) Case Number: 05-05372 Hearing Site: New York, New York Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant Morgan Stanley DW Inc. hereinafter referred to as "Claimant": Robert C. Scremin, Esq., Diane C. Fischer, Esq., Michael Schmiege, Esq., and Thomas Voltz, Esq., Kane & Fisc

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Joseph Sabbagh (Claimant) vs. UBS Financial Services, Inc. (Respondent) Case Number: 05-05060 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member REPRESENTATION OF PARTIES Claimant Joseph Sabbagh hereinafter referred to as "Claimant": Dean G. Yuzek, Esq., Ingram Yuzek Gainen Carroll & Bertolotti, LLP, New York, NY. Respondent UBS Financial Servic

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Christine D. Memet (Claimant) vs. Invest Financial Corporation, Ruth Burgess and Richard Morris (Respondents) Case Number: 05-03701 Hearing Site: Newark, New Jersey Nature of the Dispute: Associated Person vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant Christine D. Memet hereinafter referred to as "Claimant": Kenneth B. Falk, Esq., Jaffe & Falk, LLC, Woodb

Stipulated Award • ' NASD In the Matter of the Arbitration Between: Names of the Claimants Case Number: Donald & Pauline Waldt, JTWROS, Pauline Waldt IRA, 01-03122 and Donald Waldt IRA Names of the Respondents Hearing Site: StockDr.Com, Inc., Tampa, FL Wealth Management Financial Group, Inc., Michael S. Gold, Lee Anthony Siler, and FAS Wealth Management Services, Inc. REPRESENTATION OF PARTIES For Donald & Pauline Waldt, JTWROS, Paul

NATIONAL ASSOCIATION OF SECURITIES DEALERS^ IN THE MATTER OF THE ARBITRATION BETWEEN Michael J. DiCicco Case #90-00111 Claimant AWARD vs. Merrill Lynch Pierce Fenner & Smith, Inc. Respondent CASE SUMMARY Claimant, Michael J. DiCicco ("DiCicco"), alleged that Respondent Merrill' Lynch, Pierce, Fenner & Smith, Inc. ("Merrill Lynch"), made misrepresentations to the Claimant concerning the suitability of an investment in the Met Life State

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. IN THE MATTER OF THE ARBITRATION BETWEEN Donald F. Woods Case #90-00109 Claimant AWARD VS . A.G. Edwards & Sons, Inc. Respondent CASE SUMMARY Claimant, Donald F. Woods, alleged that Respondent, .A.G. Edwards & Sons, Inc., breached its agreement to execute a* transaction regarding the common stock of Chase Medical Group, Inc. and failed to deliver the stock certificates evidencing t

N.A.S.D. AWARD NHTICNAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between ) ) JfaznB^Q^CjAJIJHntfs^ ) ) Irvin J. & Rita Weiss ) ) Case Mo. 90-00108 Name of RaaDQndsnt(s) ) } Otra Clearing, Inc. ) Profile Investments Corporation ) Robert Schlein ) Carlos Fontecilla ) Alan Stuart Beshany ) Gregory Manctel Marholin ) Heard before the members of the Arbitration Panel: Robert Herschmann, Esq. Publi