Award NASD Dispute Resolution In the Matter of the Arbitration Between: Kathleen D. Enright (Claimant) vs. Park Avenue Securities, LLC, Mark Anthony DiGiacomo, and David Walter Coyman (Respondents) Case Number: 05-01325 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Persons REPRESENTATION OF PARTIES Claimant Kathleen D. Enright hereinafter referred to as "Claimant": Lawrence A. Steckman, Esq., Lester Schwa

AWARD NASD DISPUTE RESOLUTION In the Matter of the Arbitration Between: UBS Financial Services Inc., Claimant vs. Joseph F. Rudd, III, Respondent Case Number: 06-00522 SITUS: Dallas, Texas NATURE OF DISPUTE: Member v. Associated Person REPRESENTATION OF PARTIES: UBS Financial Services Inc., hereinafter referred to as "Claimant": Daniel A. Clarkin, Esq., of Davidson & Grannum, LLP. Respondent signed a submission agreement on April 24, 2006, but did n

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-05459 Sharon M. Pusin Names of the Respondents Hearing Site: Baltimore, MD Wachovia Securities, LLC Milliet Kim Lanham Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant, Sharon M. Pusin, hereinafter referred to as "Claimant", appeared pro se. Respondent Wachovia Securities, LLC ("Wach

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Tina Daniels, (Claimant) vs. Weatherly Securities Corp. and Jason Gross, (Respondents) Case Number: 01-02336 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant Tina Daniels, hereinafter referred to as "Claimant": John E. Lawlor, Esq., a sole practitioner, Mineola, NY. Respondents Weatherly Securities Corp. ("Weatherly") and Jason Gross ("Gross"), hereinafter col

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Festus and Helen Stacy Foundation, Inc. Douglas and Virlee Stepelton Name of the Respondent Merrill Lynch Pierce Fenner & Smith Case Number: 04-01425 Hearing Site: Atlanta, Georgia Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Festus and Helen Stacy Foundation, Inc. ("Stacy Foundation") and Douglas and Virlee Stepelt

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-05608 David Lerner Associates, (Claimant/Counterclaim Respondent) vs. Matthew Troncone, (Respondent/Counterclaim Claimant) ATTORNEYS: For Claimant/Counterclaim Respondent appeared in-house counsel Steven L. Sormani, Syosset, NY. For Respondent/Counterclaim Claimant appeared Michael Kalmus, Esq., of the firm Michael Kalmus Attorney at Law, New York, NY. NATURE OF DISPUTE: Member v. As

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants Bruce Wilson and Charlene Wilson and Respondents Linsco Private Ledger Corp., and Steven P. Groulx Case Number: 04-04822 Hearing Site: Detroit, Michigan NATURE OF DISPUTE Customers v. Member and Associated Person REPRESENTATION OF PARTIES Bruce Wilson and Charlene Wilson ("Claimants") were represented by Anthony V. Trogan, Law Offices

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Roy and Delores Zermeno and Names of Respondents Edward D. Jones & Co. and Willie J. Howard Case Number: 05-03212 Hearing Site: Houston, Texas NATURE OF DISPUTE Customers v. Member Firm and Associated Person REPRESENTATION OF PARTIES Roy and Delores Zermeno ("Claimants") were represented by Dawn R. Meade, Esq., Spencer & Associates, P.C.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: UBS Financial Services, Inc. (Claimant) vs. David Gardner (Respondent) Case Number: 05-02063 Hearing Site: New York, New York Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant UBS Financial Services, Inc, hereinafter referred to as "Claimant 11 : Jeffrey Newman, Esq., Davidson & Grannum, LLP, Orangeburg, NY. Previously represented by

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Cesil B. and Patricia Ann Cantwell vs. Edward D. Jones & Co. and Linsco/Private Ledger Corp. Case Number: 05-01570 Hearing Site: Nashville, TN Nature of the Dispute: Customers v. Members. REPRESENTATIOM QF PARTIES Claimants, Cesil B. and Patricia Ann Cantwell, hereinafter collectively referred to as "Claimants", were represented by Scott L. Silver, Esq. and Randall C. Place,