Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Milestone Financial Services, Inc. (Claimant) vs. Joseph Broyles, John Bergen and James Byrns (Respondents) Case Number: 04-07282 Hearing Site: New York, New York Nature of the Dispute: Member vs. Associated Persons REPRESENTATION OF PARTIES Claimant Milestone Financial Services, Inc. hereinafter referred to as "Claimant": Margaret A. DeGooyer, Esq. and Gordon C. Youn

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 05-03029 Bruce Ravdin TTEE Bruce Ravdin Enterprises, Inc. EPP Bruce Ravdin Designated BENE PLAN/TOD Bruce Ravdin Charles Schwab & Co. Inc, CUST IRA ROLLOVER Bruce Ravdin TTEE Bruce Ravdin Revocable Living Trust U/A DTD 03/06/97 Names of the Respondents Hearing Site: Boca Raton, Florida Steve Athanassie Charles Schwab

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Kathleen A. Poppe (Claimant) vs. Glen Gerald Pisani and Securities America, Inc. (Respondents) Case Number: 05-00779 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Associated Person and Member REPRESENTATION OF PARTIES Claimant Kathleen A. Poppe hereinafter referred to as "Claimant": Thomas Clarke, Esq., Red Bank, NJ. Previously represented by Joseph R. Sah

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Charles Timothy Farrell Names of the Respondents Morgan Stanley Dean Witter, Inc. Thomas R. Molnar Case Number: 04-01878 Hearing Site: Orlando, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Charles Timothy Farrell, hereinafter referred to as "Claimant": Arnold Y. Steinberg,

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 06-00209 Seasons Nursery, Inc., [Claimant) vs. Financial Network Investment Corporation and R. Carole Wiberg, (Respondents) ATTORNEYS: ' ~ For Claimant appeared Steven P. Fisher, Esq.. of the firm Sanders, Bruin, Coll & Wortey, PA. Roswell. 'W. For Respondents appeared Edwin A. Barkel, Esq., of the firm Lewis and Roca LLP, Phoenix, AZ. NATURE OF DISPUTE-: Customer v. Member and Associat

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 05-03233 Wachovia Securities, LLC Name of the Respondent Hearing Site: Boca Raton, Florida Gary N. Reichbach Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Claimant Wachovia Securities, LLC ('Wachovia"): Gregorys. Tendrich, Esq., Law Office of Gregory S. Tendrich, P.A., Boca Raton, Florida.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Case Number: 05-02203 Shelley Cohen Name of Respondent Hearing Site: Boca Raton, Florida Morgan Stanley Dean Witter, Inc. Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES For Shelley Cohen, hereinafter referred to as "Claimant": Curtis Carlson, Esq. and V. Michael Arias, Esq., Carlson & Lewittes, P.A., Miami, Florida. For Mo

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-06033 Gary A. Ferguson, (Claimant) vs. Alexi Bethel, ITRADE Direct.com Corp. and Salomon Grey Financial Corporation, (Respondents) ATTORNEYS: Claimant appeared pro se, Homestead, FL For Respondent (TRADE Direct.com Corp. appeared Stephen B. Wexler, Esq., of the firm Wexler & Burkhart, LLP, Garden City, NY. Respondent Alexi Bethel appeared pro se, Miami Beach, FL For Respondent Salomo

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants Case Number: 05-03949 Thomas W. Derby and Brenda K. Derby Name of the Respondents Hearing Site: St. Louis, Missouri Linsco/Private Ledger Corp. and Ricky Eugene Johnson NATURE OF THE DISPUTE Public Customers vs. Member Firm and Associated Person REPRESENTATION OF PARTIES Claimants Thomas W. Derby and Brenda K. Derby, hereinafter collectively referre

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Kenneth F. Kames (Claimant) vs. Fidelity Investments Institutional Services Company (Respondent) Case Number: 05-03048 Hearing Site: Boston, Massachusetts Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Kenneth F. Kames hereinafter referred to as "Claimant": Richard A. Goren, Esq., Rubin, Hay & Gould, P.C., Farmingham, MA. Respondent Fidelity I