AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Gary T. Haas vs. Case Number: 05-01663 Hearing Site: Chicago, Illinois Names of Respondents CIBC World Markets Corp. and James Elton Maxwell, Jr. NATURE OF THE DISPUTE Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Gary T. Haas ("Claimant") was represented by Arthur L. Leider, Investor Arbitration Specialists, Inc., San D

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Ronnie Stockholm vs. Case Number: 04-05719 Hearing Site: Houston, Texas Names of Respondents Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc., Kurt Russell Stockholm, and Thomas Edward Lanza NATURE OF THE DISPUTE Customer vs. Member and Associated Persons REPRESENTATION OF PARTIES Ronnie Stockholm ("Claimant") was represented b

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant / Counter-Respondent Solaris Opportunity Fund, LP vs. Case Number: 06-00279 Hearing Site: Chicago, Illinois Names of Respondents STG Secure Trading Group, Inc., Penson Financial Services, Inc., Scott David Budner, and Alan David Weiner and Counter-Claimants / Third-Party Claimants STG Secure Trading Group, Inc., Scott David Budner, and Alan D

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Guy M. Adams and Linda Adams vs. Case Number: 05-05519 Hearing Site: Dallas, Texas Name of Respondent Bane of America Investment Services, Inc. NATURE OF THE DISPUTE Customers vs. Member REPRESENTATION OF PARTIES Guy M. Adams and Linda Adams ("Claimants") were represented by Chris Fehr, Esq. and Sean M. Keane, Esq., SimmonsCooper LLC, East Alto

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants David B. Pecovish and Deborah L. Pecovish, Individually and as Custodians for Justin Pecovish, UPAUTMA and Whitney Pecovish, UPAUTMA vs. Case Number: 05-04912 Hearing Site: Pittsburgh, Pennsylvania Names of Respondents NFI Network, LLC; Network for Financial Independence, LLC; David E. Martin; Paulette Thomas; and Daniel Frederick Rae Name

Award NASD In the Matter of the Arbitration Between: Name of the Claimant Scott G. Rau Names of the Respondents Morgan Stanley Dean Witter Case Number: 01-02843 Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For Scott G. Rau hereinafter referred to as "Claimant': Marc S. Dobin, Esq., Dobin & Jenks, LLP. Jupiter, Florida. For Morgan Stanley Dean Witter hereinafter referred to as "Respondent": Bradford D. Kaufman, Esq., Joseph

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Joyce James vs. Case Number: 05-04111 Hearing Site: Houston, Texas Name of Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. NATURE OF THE DISPUTE Customer vs. Member REPRESENTATION OF PARTIES Joyce James ("Claimant") was represented by Bertrand C. Moser, Esq., Houston, Texas. Merrill Lynch, Pierce, Fenner & Smith, Inc. ("Respondent" or "Mer

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Shirley Garsten 93-04940 Name of Respondents Shearson Lehman Brothers, Inc. Jeff Kaplan CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December 3, 1993, Claimant Shirley Garsten, who appeared Pro Se, alleged that upon the strong recommendation of Respondent Jeff Kaplan ("Kaplan")

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DF.AT FRS. INC. la the matter of the Arbitration Between Name of Claimant Anthony S. Delfino NASD Arbitration No. 93-04928 Bear Stearns & Company Donald Kellen RFPRPSFNTATION For Claimant: William F. Davis, Esq. Pacific Palisades, California For Respondents: Alan B. Goldman, Esq. - Katten Muchin Zavis 8c Weitzman Los Angeles, California CASE INFORMATION Statement of Claim file

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Dean Witter Reynolds Inc. Case# vs. 93-04924 Name of Respondent James Spinner REPRESENTATION For Claimant, Dean Witter Reynolds, Inc. ("Claimant"), Mark Mancher, Esq., from the firm of Jackson Lewis Schnitzler Krupman. For Respondent, James Spinner ("Respondent"), Glenn B. Cruder, Esq., from the firm of Mars, Sloan & Co