Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Diane Gernand v. Legacy Financial Services, Inc., and Joseph R. Karsner, IV rasa Niimher: 04-07345 Hearing Site: Baltimore, MD Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIFS Claimant, Diane Gernand, hereinafter referred to as "Claimant", was represented by William B. Young, Esq., Hooper & Weiss, LLC, Orlando, Florida. Respo

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Maria Lucila Beltran Tomas Voulgaridis Names of Respondents Wallstreet Electronica, Inc. Rafael Avila Carlos Noe Otalvaro Carlos Francisco Otalvaro UBS Financial Services, Inc. f/k/a UBS PaineWebber, Inc. Pedro Penzini Cecilia Gonzalez Case Number: 04-05014 Hearing Site: Boca Raton, Florida Nature of the Dispu

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Marcella Cornacchia Arango (Claimant) v. Washington Square Securities, Inc., Diddei & Diddel, LLC and Scott Diddei (Respondents) Case Number: 04-04647 Hearing Site: Hartford, Connecticut Nature of the Dispute: Customer vs. Member, Non-Member and Associated Person. REPRESENTATION OF PARTIES Claimant Marcella Cornacchia Arango hereinafter referred to as "Claimant": Michael

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Darleen Busse, individually and as for the Darleen Busse Living Trust and as beneficiary and trustee of the Charitable Remainder Trust and 04-03791 Phoenix, Arizona Name of Respondents RBC Dain Rauscher Inc. Larry Kay Wetterschneider Richard E. Mundinger Nature of the Dispute: Customer vs. Member and Associated Persons. REPRESENTATION OF PARTI

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Johanna P. Anderson IRA, Claimant v. The Retirement Group, Frank A. Cuenca, Timothy C. Sullivan, FSC Securities Corporation, a subsidiary of Financial Service Corporation, Financial Service Corporation, SEI Trust Company, a subsidiary of SEI Investments, SEI Investments Distribution Co., Pershing Division of Donaldson, Lufkin & Jenrette Securities Corporation, aka Donaldson,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Sylvia Dixon, Claimant v, Citigroup Global Markets, Inc., Respondent Case Number: 05-02569 Hearing Site: Portland, Oregon Nature of the Dispute: Customer v. Member REPRESENTATION OF PARTIES For Claimant: Marissa C. Lau, Esq. Hooper & Weiss, L.L.C. Jericho, New York For Respondent: Eric D. Lansverk, Esq. Hiilis Clark Martin & Peterson, P.S. Seattle, Washington

Award NASD Dispute Resolution In the Matter of the Arbitration Between: H.C. Wainwright & Co., Inc., (Claimant) vs. Oppenheimer & Co., Inc., RichardB. Trull, Thomas Valeo, and Sidney N. Towle, Jr., (Respondents) Case Number: 01-02306 Hearing Site: Boston, Massachusetts REPRESENTATION OF PARTIES Claimant, H.C. Wainwright & Co., Inc., hereinafter referred to as "Claimant": Christopher P. Litterio, Esq., Ruberto, Israel & Weiner, P.C. (formerly Shapiro, Is

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants Case Number: 05-01826 Margie Osbome, individually and as Beneficiary of the Margie Osbome IRA and of the Margie Osborne IRRA; and, Marshall Williams, Individually and as Beneficiary of the Marshall Williams IRA 5 Name of the Respondent Hearing Site: Dallas, Texas Merrill Lynch, Pierce, Fenner & Smith Incorporated NATURE OF THE DISPUTE Pu

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 04-00396 Reed M. Pringle Robin K. Pringle Name of the Respondent Hearing Site: New Orleans, Louisiana Merrill Lynch, Pierce, Fenner & Smith Name of the Third Party Respondent David Vincent Liuzza Nature of the Dispute: Customer vs. Member vs. Associated Person. REPRESENTATION OF PARTIES For Reed M. Pringle and Robin K. Pringle, her

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Shari Notan, Claimant v. Phillip D. Hurner and Merrill Lynch, Pierce, Fenner & Smith Incorporated, Respondents Case Number: 02-01455 Hearing Site: San Francisco, California Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Richard A. Roth, Esq. The Roth Law Firm, PLLC New York, New York For Respondents: Blanca F. You