Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 05-03921 Jerry Tankersley Name of the Respondent Hearing Site: Jackson, Mississippi Joseph Stevens & Company, Inc. Nature of the Dispute: Customer v. Member. REPRESENTATION OF PARTIES For Jerry Tankersley, hereinafter referred to as "Claimant": J. Brad Pigott, Esq., Pigott, Reeves, Johnson & Minor, P.A., Jackson, Mississippi. For Joseph

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Harold Sandier and Dorothy Sandier JTWROS (Claimants) v. Dupont Securities Group Inc., Dupont Direct Financial Holdings, Inc., Marquis Financial Services, Inc. as successor in interest to Dupont Securities Group, Inc., Stanislav Kaminsky, David Wayne Parsons and Carol Ann Ferrotta (Respondents) Case Number: 05-02422 Hearing Site: New York, New York Nature of the Dispute: Customer vs

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Neil A. Laufer, (Claimant) vs. Stires and Company and Sidney H. Stires, (Respondents) Case Number: 01-02255 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Neil A. Laufer, hereinafter referred to as "Claimant", appeared pro se. Respondents, Stires and Company ("S&C") and Sidney H. Stires ("Stires"), hereinafter collectively referred to as "Respondents": Pe

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Melody Malouf and Name of Respondent Merrill Lynch Pierce Fenner& Smith, Inc. Case Number: 06-00250 Hearing Site: Houston, Texas NATURE OF DISPUTE Customer v. Member Firm REPRESENTATION OF PARTIES Melody Malouf ("Claimant") was represented by Leonard Meyer, Esq. and Nelson Ebaugh, Esq., Zimmerman, Axelrad, Meyer, Stern & Wise, Houston, Texas.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: AIG Financial Advisors, Inc., Claimant v. Gary P. Duffy, Respondent Case Number: 05-06144 Hearing Site: Phoenix, Arizona Nature of the Dispute: Member v. Associated Person REPRESENTATION OF PARTIES For Claimant: John K. Fahey, Esq. AIG Financial Advisors, Inc. Phoenix, Arizona For Respondent: Gary P. Duffy Pro Se Phoenix, Arizona CASE INFORMATION Stat

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 05-05232 Thomas O. Edwards, Jr. Name of the Respondent Hearing Site: Atlanta, Georgia Synergy Investment Group, LLC Nature of the Dispute: Associated Person v. Member. REPRESENTATION OF PARTIES Thomas O. Edwards, Jr., hereinafter referred to as "Claimant," appeared pro se. For Synergy Investment Group, LLC, hereinafter referred to as "Respon

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Willa Connally Name of the Respondent Edward D. Jones & Co., L.P. NATURE OF THE DISPUTE Public Customer v. Member Firm REPRESENTATION OF PARTIES Claimant Willa Connally, hereinafter referred to as "Claimant": Richard A. Lewins, Esq., of the firm of Burg Simpson Eldredge Hersh Jardine P.C., located in Dallas, Texas. Respondent Edward D. Jones & Co

Award NASD Dispute Resolution In the Matter of the Arbitration Between: James R. Chamness, Claimant v. Edward D. Jones & Co., Respondent Case Number: 05-02005 Hearing Site: San Diego, California Nature of the Dispute: Customer v. Member REPRESENTATION OF PARTIES For Claimant: Sean M. Keane, Esq. Simmons Cooper LLC East Alton, Illinois For Respondent: David J. Simmons, Esq. Greensfelder, Hemker & Gale, P.C. St. Louis, Missouri CAS

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Joseph Muscat And Case Number: 02-04942 Hearing Site: Detroit, Michigan Names of Respondents Securities America, Inc., Linsco/Private Ledger Corp., Osman R. Minkara, Continental Capital Investment Services f/k/a Sky Investments, Capital Investment Group, LLC, Michael Hycki, and Derek A. Ross NATURE OF DISPUTE Customer v. Members, Te

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Kathi A. Sharpe and 00-00017 Phoenix, Arizona Name of Respondents Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney Inc. Thomas H. Seabron Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Kathi A. Sharpe ("Claimant") was originally represented by Michael Salcido, Esq., Phoenix, Arizona. Claimant w