Award NASD Dispute Resolution In the Matter of the Arbitration Between: The Anne C. Leitch Trust, Claimant v. Edward D. Jones & Co. and Gregory B. Theobald, Respondents Case Number: 06-00461 Hearing Site: San Francisco, California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Anne C. Leitch Walnut Creek, California For Respondents: Joseph B. Genster Hillis Clark Martin & Peterson

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Alice Chamois (Claimant) vs. Yannick Jeanmarc Bastien (Respondent) Case Number: 06-00369 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Associated Person REPRESENTATION OF PARTIES Claimant Alice Chamois hereinafter referred to as "Claimant" appeared pro-se. Respondent Yannick Jeanmarc Bastien hereinafter referred to as "Respondent": Virginia T. Shea, Esq.,

Award NASD Dispute Resolution in the Matter of the Arbitration Between: Bob T. Hall and Marian G. Hall, Claimants v. Merrill Lynch, Pierce, Fenner & Smith Incorporated and Dean L. Welsh, Respondents Case Number: 06-00294 Hearing Site: San Diego, California Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES For Claimants: Jeffrey P. Lendrum, Esq. Lendrum Law Firm San Diego, California For Respondent

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-08266 Oppenheimer& Co. Inc. Name of the Respondent Hearing Site: Boca Raton, Florida David John Williams, III Nature of the Dispute: Member v. Associated Person. REPRESENTATION OF PARTIES For Oppenheimer & Co. Inc., hereinafter referred to as "Claimant": Coren S. Zadanosky Esq., Boose Casey Ciklin Lubitz Martens, West Palm Beach, Florida.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Howard K. Goldstein and Ellen Solis-Cohen Goldstein, J7WROS (Claimants) v. Ri.chard Drayton, Jr. and Salomon Smith Barney, Inc. (Respondents) : Case Number: 04-07508 Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Customers vs. Associated Person and Member REPRESENTATION OF PARTIES Claimants Howard K. Goldstein ("Howard Goldstein") and Ellen Solis-Cohen Goldstein

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Case Number: 01-02372 J. Michael Stoltz Name of Respondent Hearing Site: Little Rock, Arkansas Salomon Smith Barney, Inc. REPRESENTATION OF PARTIES For J. Michael Stoltz, hereinafter referred to as "Claimant": Richard T. Donovan, Esq., Rose Law Firm, P.A., Little Rock, AR. For Salomon Smith Barney, Inc. ("SSB"), hereinafter referred to as "Respondent": Ellen

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-07346 Mary M. Harnage Names of the Respondents Hearing Site: Washington, D.C. Legacy Financial Services, Inc. Joseph R. Karsner Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant, Mary M. Harnage, hereinafter referred to as "Claimant", was represented by William B. Young, Es

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant David G. Peregrin vs. Case Number: 04-06892 Hearing Site: Chicago, Illinois Names of Respondents Milestone Group Management, LLC and William E. Kassar, Jr. NATURE OF THE DISPUTE Customer vs. Terminated Member and Associated Person REPRESENTATION OF PARTIES David G. Peregrin ("Claimant") was represented by James A. McGurk, Esq., Law Offices of

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Demetrios Jangarathis (Claimant) vs. Essex National Securities, Inc. (Respondent) Case Number: 04-06398 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Demetrios Jangarathis hereinafter referred to as ("Claimant"): Robert F. Van der Waag, Esq., Van derWaag and Gray, Mineola, New York. Respondent Essex Natio

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-04151 Archer Alexander Securities Corporation Names of the Respondents Hearing Site: Boca Raton, Florida Jamie L. Solow Ryan Beck & Co., Inc. Nature of the Dispute: Member vs. Associated Person and Member. REPRESENTATION OF PARTIES For Archer Alexander Securities Corporation, hereinafter referred to as "Claimant": Paul G. Schepers, Es