Award NASD Dispute Resolution In the Matter of the Arbitration Between: Spelman & Co., Inc. n/k/a AIG Financial Advisors, Inc., Claimant v. Anthony J. Arcidiacono, Respondent Anthony J. Arcidiacono, Counter-Claimant v. Spelman & Co., Inc. n/k/a AIG Financial Advisors, Inc., Counter-Respondent Case Number: 05-02938 Hearing Site: San Diego, California Nature of the Dispute: Member v. Associated Person Associated Person v. Member REPRESENTATION OF

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimants Daniel E. & Marilyn Christiansen and 05-02932 Chicago, Illinois Name of Respondents A.G. Edwards & Sons, Inc. Robert Lee Schrieber Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Daniel E. & Marilyn Christiansen ("Claimants") were represented by Howard B. Prossnitz, Esq., Law Offices of Birndoff & Birnd

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant William Jeffrey and Case Number: 05-02928 Hearing Site: Troy, Michigan Respondents Steven T. Gordon, Walter Burzynski, and Russell Henry NATURE OF DISPUTE Associated Person v. Associated Persons REPRESENTATION OF PARTIES William Jeffrey ("Claimant") was represented by Donald R. Bachand, lit, Esq., and Elizabeth Parker, Esq., Garratt& Bachand, P.C., Bl

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Narpp nf tbp Plaimant ' Paip NllTTlM" 05-02927 Charles Fink, individually, and for the Benefit of Henry Fink nf thp PpspnnHprit }{pan'^g ft if p.- Dallas, Texas PaulR.Meehl ' . OFTUSPTTTP Public Customer v. Associated Person TTPPF.SF.NT A TfOTV OF P APTTF.S Claimant, Charles Fink, individually, and for the Benefit of Henry Fink, hereinafter referred to as Claimant, a

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Management Recruiters of Cleveland-Independence, Inc. Profit Sharing Plan and Trust (Claimant) vs. Oppenheimer and Co., Inc. and Ernest A. Mishne (Respondents) Case Number: 05-02908 Hearing Site: Cleveland, Ohio Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Management Recruiters of Cleveland-Independence, Inc. Profit Sharing Pla

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Khosrow Hakimian, Guity Hakimian, Danny Hakimian, Haleh Rahmana, Guita Hakimi, Roy Hakimian, Parviz Roubeni, Mahnaz Roubeni, individually and derivatively on behalf of Olympus Partners, L.P., Javad Mehdizadeh, and Mehriz General Trading L.L.C., individually and derivatively on behalf of Olympus Partner Fund, Ltd. (Claimants) vs. Merrill Lynch, Pierce, Fenner & Smith Incorporated, Bear S

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Gregory L. Duffy (Claimant) vs. Sungard Institutional Brokerage Inc. (Respondent) Case Number: 05-02881 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member REPRESENTATION OF PARTIES Claimant Gregory L. Duffy hereinafter referred to as "Claimant" appeared pro-se. Respondent Sungard Institutional Brokerage Inc. hereinafter referred to as "Respondent"

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE:01-00565 Charles Schwab & Co., Inc., claimant vs. Evans P. Weaver, respondent. ATTORNEYS: For Claimant appeared Brandon K. Hemley, in-house counsel, San Francisco, CA. Respondent failed to submit a response to the Statement of Claim. DATE FILED: February 2, 2001 CASE SUMMARY: Claimant alleged that respondent failed to repay the debit balance on his margin account. Claim Data Cl

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Sonja Mueller-Spiegel and Theodore Spiegel (Claimants) vs. Merrill Lynch, Pierce, Fenner & Smith, Inc. (Respondent) Case Number: 05-02880 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Member. f REPRESENTATION OF PARTIES Claimants Sonja Mueller-Spiegel ("Mueller-Spiegel") and Theodore Spiegel ("Spiegel") hereinafter referred to as "Claimants": William

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-02879 Trident Partners, LTD, (Claimant) vs. Gerardo Maroto, (Respondent) ATTORNEYS: For Claimant appeared Eugene L. Small, Esq., of the firm Alonso, Andalker & Kahn, P.C., New York, NY. Respondent did not submit an Answer to the Statement of Claim. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: May 31, 2005 CASE SUMMARY: Claimant alleged that Respondent breached a contrac