AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Wells Fargo Investments, LLC and Name of Respondent Melinda Leigh Stavinoha Case Number: 05-03330 Hearing Site: Houston, Texas NATURE OF DISPUTE Member Firm v. Associated Person REPRESENTATION OF PARTIES Wells Fargo Investments, LLC ("Claimant" or "Wells Fargo") was represented by Ronald Kane, Esq. and Thomas Volz, Esq., Kane & Fischer, Ltd.,

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants Jerry Drake and Claudia Drake v. 05-03329 Denver, Colorado Respondent Dominion Investor Services, Inc. NATURE OF DISPUTE Customers v. Member Firm REPRESENTATION OF PARTIES Jerry Drake and Claudia Drake, hereinafter collectively referred to as ("Claimants 1 ') were represented by Richard A. Lewins, Esq., of Burg, Simpson, Eldredge, Hersh & Jardine

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 01-00589 First Union Securities, Incorporated, claimant vs. Jefferey M. Daniels, respondent. ATTORNEYS: For claimant appeared Renan I. Sugarman,in-house counsel, Chicago, IL. Respondent appeared Pro Se Medina, OH. DATE FILED: February 5, 2001. CASE SUMMARY: Claimant alleged that respondent failed to repay his outstanding overdraw deficit obligation. Claim Data Award Data Claim

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 00-00625 S. G. Cowen Securities Corporation, claimant vs. John M. Madigan and Margaret C. Madigan, respondents. ATTORNEYS: For Claimant, S. G. Cowen Securities Corporation, ("Claimant"), appeared David Hirschberg, Esq., of the firm, Wexler & Burkhart, P.C., Mitchel Field, NY. Respondents, John M. Madigan and Margaret C. Madigan (collectively "Respondents"), did not respond to the Stat

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 05-03321 Mark Lunden Name of the Respondent Hearing Site: Boca Raton, Florida Bonds Direct Securities n/k/a Jefferies & Company, Inc. Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Mark Lunden ("Lunden"), hereinafter referred to as "Claimant", appeared Pro Se. For Bonds Direct Securities n/k/a Jefferies &

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Russell W. Florence and Sally C. Florence (Claimants) vs. UBS Financial Services, Inc. f/k/a/ PaineWebber, Inc. and Rudolf A. Woykowski (Respondents) Case Number:05-03312 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimants Russell W. Florence ("R. Florence") and Sally C. Florence ("S. Florence") herein

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-03305 Joseph DiMola, (Claimant) vs. Morgan Stanley DW Inc., Kathleen Marie Reese and Frank Valanzola, (Respondents) ATTORNEYS: ~~ Claimant appeared pro se, Whitehouse Station, NJ. For Respondents appeared in-house counsel, Amy DePippo, Esq., Purchase, NY. NATURE OF DISPUTE: Customer v. Member and Associated Persons DATE FILED: June 23, 2005 CASE SUMMARY: Claimant alleged that Respond

Award NASD Dispute Resolution In the Matter of the Arbitration Between: John Chen (Claimant) v. Citigroup Global Markets, Inc. (Respondent) Case Number: 05-03301 Hearing Site: New York, New York Nature of the Dispute: Associated Person v. Member REPRESENTATION OF PARTIES i Claimant John Chen hereinafter referred to as "Claimant": Julian R. Birnbaum, Esq., Vladeck, Waldman, Elias & Engelhard, P.C., New York, NY. Respondent Citigroup Global Market

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Ben Wood, Jr., Claimant, v. Daedalus Capital, LLC, Steven M. Coleman and Charles Schwab & Co., Respondents. Case Number: 05-03274 Hearing Site: St. Louis, Missouri Nature of the Dispute: Customer vs. Non-Member, Associated Person and Member REPRESENTATION OF PARTIES Ben Wood, Jr. ("Wood"), hereinafter referred to as "Claimant": Steven W. Koslovsky, Esq. of Ma

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 05-03266 Jane Bakalor Revocable Living Trust Names of the Respondents Hearing Site: Tampa, Florida GunnAllen Financial, Inc. Brian Velten Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES i For Jane Bakalor Revocable Living Trust, hereinafter referred to as "Claimant": Nicholas J.