Award NASD Dispute Resolution In the Matter of the Arbitration Between: Merrill Lynch, Pierce, Fenner & Smith Incorporated, Claimant v. William A. Anderson and Kathryn D. Anderson, Respondents Case Number: 06-01627 Hearing Site: Seattle, Washington Nature of the Dispute: Member v. Customers REPRESENTATION OF PARTIES For Claimant: Brian C. Free, Esq. Hillis Clark Martin & Peterson Seattle, Washington For Respondent William A. Anderson: Wi

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Raul E. Acosta, Claimant v. Citigroup Global Markets Inc. (f/k/a Salomon Smith Barney Inc.), Respondent Case Number: 06-00426 Hearing Site: Denver, Colorado Nature of the Dispute: Customer v. Member REPRESENTATION OF PARTIES For Claimant: Raul E. Acosta ProSe Colorado Springs, Colorado For Respondent: Gordon C. Young, Esq. Keesal, Young & Logan San Francisco,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Abdul Afridi, (Claimant) vs. Morgan Stanley Dean Witter & Co., Arun Sengupta, and Adel Afridi, (Respondents) Case Number: 01-03013 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Abdul Afridi, hereinafter referred to as "Claimant": Kim Steven Juhase, Esq., Novak & Juhase, Roseland, NJ. Respondents, Morgan Stanley Dean Witter & Co. ("MSDW") and Arun Sengupta

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Wachovia Securities, LLC, Claimant v. Jay Reid Porter, Respondent Case Number: 05-01390 Hearing Site: Seattle, Washington Nature of the Dispute: Member v. Associated Person REPRESENTATION OF PARTIES For Claimant: Diane C. Fischer, Esq. Ronald P. Kane, Esq. Stuart F. Primack, Esq. Kane & Fischer, Ltd. Chicago, Illinois For Respondent: John A. Bender, Esq.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Joann Ochi, Claimant v. Charles Schwab & Co., Inc. and Lawrence Suemitsu Furukawa, Respondents Case Number: 04-06432 Hearing Site: Honolulu, Hawaii Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Joann Ochi In Propria Persona Honolulu, Hawaii For Respondent Charles Schwab & Co., Inc.: Sean B. Meehan, Esq. Charle

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Deutsche Bank Securities, Inc., formerly known as Deutsche Bane Alex.Brown Inc., Claimant v. John Bantleman, Respondent Case Number: 03-00375 Hearing Site: San Francisco, California Nature of the Dispute: Member v. Customer REPRESENTATION OF PARTIES For Claimant: David D. Piper, Esq. Keesal, Young & Logan Long Beach, California For Respondent: John Bantleman London,

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 06-02004 Royal Alliance & Associates, Inc., (Claimant) vs. Christopher Reagan, (Respondent) ATTORNEYS: For Claimant appeared in-house counsel Alyson R. Kest, Esq., New York, NY. Respondent appeared pro se, New York, NY. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: April 19, 2006 CASE SUMMARY: Claimant alleged that Respondent breached a contract by failing to repay moni

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 06-01962 Ryan Beck & Co., Inc., (Claimant) vs. Eric Betancourt, (Respondent) ATTORNEYS: For Claimant appeared in-house counsel, Jeffrey C. Primiano, Esq., Livingston, NJ. Respondent appeared pro se, Bayside, NY. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: April 17, 2006 CASE SUMMARY: Claimant alleged that Respondent breached an employment contract pursuant to the terms of

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Brian Gayman (Claimant) vs. Oppenheimer & Co., Inc., Josephthal & Co., Inc Fahnestock & Co., Inc., and Michael Fasciglione (Respondents) Case Number: 06-01431 Hearing Site: New York. New York Nature of the Dispute: Customer vs. Members and Associated Person REPRESENTATION OF PARTIES Claimant Brian Gayman hereinafter referred to as "Claimant": Carlton R. Asher, Jr., Esq., Law Off

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 06-01398 James R. Groner, (Claimant) vs. Morgan Stanley DW, Inc., (Respondent) ATTORNEYS: For Claimant appeared George W. Healy, IV, Esq., of the firm George W. Healy, IV & Associates, Gulfport, MS. For Respondent appeared in-house counsel Roderick Chin, Esq., Purchase, NY. NATURE OF DISPUTE: Customer vs. Member DATE FILED: March 16, 2006 CASE SUMMARY: Claimant alleged that Respondent b