Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Joan Bouden Kostmayer LaFaver Names of Respondents Legg Mason Wood Walker, Inc. Don Celestin Jim Walther Case Number: 03-07698 Hearing Site: New Orleans, Louisiana Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Joan Bouden Kostmayer LaFaver, hereinafter referred to as "Claimant," appeared pr

Award By Consent NASD Dispute Resolution In the Matter of the Arbitration Between: Prudential Equity Group, LLC f/k/a Prudential Securities Incorporated, Claimant v. Thomas Burgess Hamlin, Respondent Thomas Burgess Hamlin, Counter-Claimant v. Prudential Equity Group, LLC f/k/a Prudential Securities Incorporated, Counter-Respondent Case Number: 97-04690 Hearing Site: Los Angeles, California Nature of the Dispute: Member vs. Associated Person Associat

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 06-00174 Rickey A. Haman, (Claimant) vs. David Robert Golson, Morgan Stanley DW Inc. and Merrill Lynch, Pierce, Fenner & Smith. Inc., (Respondents) ATTORNEYS: ~ For Claimant appeared Susan B. Norris, Esq. of the firm The Law Offices of Susan Berman Norn's, Wetumpka, AL. For Respondents David Robert Golson and Morgan Stanley DW Inc. appeared in-house counsel Andrew Upton, Esq., Purchase, NY.

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 01-02332 Seymour Waterman, Claimant vs. Whale Securities Inc. and John Ehrlich, Respondents. ATTORNEYS: Claimant, Seymour Waterman, appeared pro se, Encino, CA. For Respondents, Whale Securities, Inc. n/k/a Bluestone Capital Corp. and John Ehrlich, appeared David S. Richan, Esq. of the firm, Blank Rome Tenzer Greenblatt LLP, New York, NY. DATE FILED: May 4, 2001 CASE SUMMARY: Clai

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Paul J, Sullivan, Trustee of the P&K Sullivan Nominee Trust, Billy Duncan, Lawrence Gilbert as Successor Trustee to Robert Gilbert, George E. Okashima, David and Anne Eaton, Thomas Hoyt, Carl and Barbara Streng, John Pickel, Charles Hostenske, Douglas Anders, Richard L. Uriarte, Kamran Manuel, William and Marilyn Fisher, Phillip and Marilyn Shapiro, Duane Stewart, Douglas Foy, Randy All

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Bemhard Heine, Individually and on Behalf of the Bernhard Heine IRA, and Silke Heine (Claimants) v. Merrill Lynch, Pierce, Fenner & Smith, Inc. and Thomas A. Hand (Respondents) Case Number: 05-02694 Hearing Site: Boston, Massachusetts Nature of the Dispute: Customer vs. Members and Associated Persons. REPRESENTATION OF PARTIES Claimants Bernhard Heine, Individually and on Behalf

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Thomas Dodd and Case Number: 05-01931 Hearing Site; Chicago, Illinois Respondent Citigroup Global Markets, Inc., f/k/a Salomon Smith Barney, Inc. NATURE OF DISPUTE Customer v. Member REPRESENTATION OF PARTIES Thomas Dodd ("Claimant") was represented by James J. Eccleston, Esq. and Ronald M. Amato, Esq., Shaheen, Novoselsky, Staat, Filipowski & Ecclest

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Elizabeth Johnson, Individually, and as Trustee for The Casaburi Family Trust and as POA for Betty Casaburi (Claimants) v. Summit Equities, Inc. and Peter O'Neill (Respondents) Case Number: 04-04272 Hearing Site: New York, New York Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES Claimants Elizabeth Johnson, Individually ("E.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 06-00067 Russell and Sandra Aucoin Names of the Respondents Hearing Site: New Orleans, Louisiana Edward Jones & Co. Peter Gauthier Nature of the Dispute: Customer v. Member and Associated Person. REPRESENTATION OF PARTIES Russell and Sandra Aucoin appeared Pro Se. Edward Jones & Co. ("Jones") and Peter Gauthier ("Gauthier"), hereinafte

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-05399 Greentree Brokerage Services, Inc., (Claimant) vs. Robert Chaykowsky, (Respondent) ATTORNEYS: For Claimant appeared Harold G. Ognelodh, Esq., of the firm Ognelodh Partners, LLC, Brooklyn, NY. Respondent appeared pro se, Hopewell, NJ. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: October 17, 2005 CASE SUMMARY: Claimant alleged that Respondent breached a contract by