Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: First Union Securities, Inc., Claimant Vs. Case Number: 01-02405 Jack W. Hill Respondent. Hearing Site: Nashville, Tennessee REPRESENTATION OF PARTIES Thomas A. Volz, Esquire, of Kane & Fischer, Ltd., Chicago, Illinois, represented Claimant First Union Securities, Inc., now known as Wachovia Securities, Inc. ("Wachovia"). Samuel W. Brown, Esquire, of Becke

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Manohar Lai and Constance Lai, Claimants Vs. Barington Capital Group, L.P., Respondent. Case Number: 00-00836 Hearing Site: Cleveland, Ohio REPRESENTATION OF PARTIES J. Michael Gatien, Esquire, North Canton, Ohio, represented Claimants Manohar Lai and Constance Lai, ("Mr. and Mrs. Lai"), hereinafter referred to as "Claimants". Stuart A. Jackson, Esquire, of

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-01153 Merrill Lynch, Pierce, Fenner & Smith Incorporated Name of the Respondent Hearing Site: Orlando, Florida Heath M. Barrett Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Merrill Lynch, Pierce, Fenner & Smith Incorporated, hereinafter referred to as "Claimant": Jason T, Edelmann, Esq., Rubin Fortuna

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 05-05576 John E. Lundberg Name of the Respondent Hearing Site: Baltimore, Maryland Donaldson, Lufkin & Jenrette Securities Corp., n/k/a Pershing LLC Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES John E. Lundberg., hereinafter referred to as "Claimant", appeared pro se. For Donaldson, Lufkin & Jenrette Securities C

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 05-00372 Luis Eduardo Cordero Luis Eduardo Cordero Case De Bolsa Names of the Respondents Hearing Site: Boca Raton, Florida Merrill Lynch Pierce Fenner & Smith Inc. Merrill Lynch International Limited Nature of the Dispute: Customer vs. Member and Non-Member REPRESENTATION OF PARTIES For Luis Eduardo Cordero and Luis Eduardo Cordero Ca

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-06266 Robert Wood Names of the Respondents Hearing Site: Baltimore, Maryland Legacy Financial Services, Inc. Joseph R. Karsner, IV Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Robert Wood , hereinafter referred to as "Claimant": William B. Young, Esq., Hooper & Weiss, L.L.C

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Morton Goldberg Elaine Goldberg Morton Goldberg TTEE Morton H. Goldberg Rev Trust U/A DTD 12/03/99 Names of theRespondents Morgan Stanley Dean Witter, Inc. Kenneth J. Venable Robert DiGiacomo Case Number. 04-05584 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer v. Member and Associated Person. REPRES

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants William H. Owen, III & Ann B. Owen, jointly William H. Owen, III SSB IRA Custodian Asset One Account William H. Owen, III SSB IRA Custodian IRA Account Names of the Respondents Citigroup Global Markets, Inc. F/D/B/A Salomon Smith Barney, Inc. Randall Bullard (aka Randy Bullard) Case Number: 04-02145 Hearing Site: Raleigh, Nor

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-01675 Patricia E. Rausch Names of the Respondents Hearing Site: Baltimore, Maryland American Express Financial Advisors, Inc. Gary S. Williams Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Patricia E. Rausch , hereinafter referred to as "Claimant": Stephen Murakami, Esq., Hooper

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Case Number: 03-02522 Constance and Cynthia Nigro, individually and as Trustees of various family trusts Names of Respondents Hearing Site: Boca Raton, Florida The Barry Financial Group, Inc. Asset Management Securities Corp. James M. Barry James A. Barry, Jr. Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATI