N.A,S.O. AWARD NATIONAL ASSOCUnON OP SECinUTIBS DEALERS la the Mtti»r of ths Aibitntion Between Vaughn D. Bcttl^ 9Mlck9 I.e. Bndfoid ft Co. KsBOy Flimuiicr For Cliimitt, Vaugto D. Beuby ("Beaitoy*): Joel SecraoibriniJJr., Biq, of Smitb Huli^ ft BuiVi lKtonvllle» PL.. For KMpoadenti J.C. Bisdftaid ft Co. ("I.C Bvadftud") and Bhn4y Plmamer (-Phumaer*): Oande O. Samer. U, Biq. of SJZ, Bndflud ft Co., NulivlUe, ^ CABIHWMMMTOW SMBBMoi of Cltl

Award NASD Dispute Resolution In the Matter of the Arbitration Between: David Kotowski, vs. UBS Financial Services, Inc. f7k/a UBS PaineWebber, Inc., consolidated with UBS Financial Services, Inc. f/k/a UBS PaineWebber, Inc. vs. David Kotowski Case Numbers: 01-05707 (consolidated w/ 01-05714) Hearing Site: New York, NY REPRESENTATION OF PARTIES Claimant, David Kotowski ("Kotowski") hereinafter referred to as "Claimant": Andrew J. Goodman Esq., Kurzm

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Gordon Wise, Claimant v. Baxter, Banks & Smith Ltd., Samuel Engelsberg, and F, Martin McDermott, Respondents Case Number: 00-01421 Hearing Site: Seattle, Washington Nature of the Dispute: Customer v. Member and Associated Persons REPRESENTATION OF PARTIES For Claimant: For Respondent Baxter, Banks & Smith, Ltd.: For Respondent Samuel Engeisberg: For Respondent F. Mar

Finra FINRA DR In the Matter of Arbitration Between Case: OppenheimcT &L CO., Inc. v. Steven Shah Docket: 2007-0167S8 Attomeysi For Claimant(s): Cory Zadanaslcy - I.akc Worth, HI. For Respondent(s): Stc\-en Shah - Panama City, HL Date Filedi 6/6/2007 First Scheduled: 12/11/2007 Decided: 11-18-08 Case Summary: Member firm Claimant alleges breach of loan agreement in connection with balance due on a promissory norc and breach of payout contract.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 01-05703 Philip E. Rosensweig Name of the Respondent Hearing Site: Boca Raton, Florida Morgan Stanley DW, Inc. Nature of Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES For Philip E. Rosensweig, hereinafter referred to as "Claimant": Curtis Carlson, Esq., Payton & Carlson, P.A., Miami, Florida. For Morgan Stanley DW, Inc

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 01-05696 Wachovia Securities, Inc., Claimant vs. Steve M. Hite, Respondent. ATTORNEYS: Claimant, Wachovia Securities, Inc., ("Claimant"), appeared through its in-house counsel, Pamela Warnement, Esq., Charlotte, NC. Respondent, Steve M. Hite, ("Respondent") did not submit a response to the Statement of Claim. DATE FILED: October 24, 2001 CASE SUMMARY: Claimant alleged that Respondent

NASI.) Rr.(il=I.ATIl)N. INC AWARI^ w.i (iSIJ-l In \h^ M:iikT nl ilk- Arhhraiicn lit-i^uvn •VinvL- (i| CMiJiLlLLiil I-ii\l Muiu.iuk S^vnrilii's C'ii[|! Name wl' RcN|nnuk'iil KKPRI>SKNi;/VO()\ Hm-C'ljiinaiii I'irM Muni.riik Sauinii"* Corp (••Claiiii.iiir'i j|i|v.irai I'.iiil - V I iMcnn.ui. P.MJ.. SpLvial f't'iinsv.'! lor Claiinaiil. Inoiti'd m Ral Bank. New .kTsi*\. Ki."< pi^iuk'iil l,tMli^ t'hark"* Mi-.L'li. .Ic ("Ri'sponiloni'i did nul a

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of Arbitration Between Name of Claimant Michael Weinstein V. 94-05387 Name of Respondent Gibraltar Securities, Inc. REPRESENTATION For Claimant, Michael Weinstein, appeared Robert Axelrod, Esq., of First Institutional Securities. L.L.C. located in Clifton, New Jersey. For Respondent, Gibraltar Securities, Inc., appeared Matthew Fartey, Esq. of the law fum of Shan

N.A.S.D. AWARD NA'nONAL ASSOCIA'nON OF SECURITIES DEALERS In the Matter of the Arbitration Between HaiMftfClaimantg Aimie Bell Harris and Johimie Harris 944)1499 Name nf Respondents Prudemia] Securities Incorporated; Mallory Beard; Joseph Vecchio; Deborah Horton. REPRESENTATfON For Claimants: Annie Bell Harris and Johnny Harris ("Harris") were represented by Ralph J. Sirlin, Esq. of Reosti James & Sirlin, P.C, located in Detroit, Mic

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Mami>nfria«ii».nt« Michael Baghdoian, M.D.; Michael Baghdoian, IRA; Orthopedics Associates P.C. Pension Plan 94-01495 MamffirfRggwnflcntt oppenheimer &. Co., Inc.: Smith Barney Shearson, Inc.; Jonathan Lamberto REPRFSENTATinN For Claimants: Michael Baghdoian. M.D., Michael Baghdoian, IRA, and the Trustee of the Orthopedics Associate