AMENDED AWARD NASD Dispute Resolution in the Matter of the Arbitration Between: Name of Claimant Wachovia Securities, LLC vs. Case Number: 06-02583 Hearing Site: Pittsburgh, Pennsylvania Name of Respondent Heather N. Landon NATURE OF THE DISPUTE Member vs. Associated Person Wachovia Securities, LLC ("Claimant" or "Wachovia") was represented by Renan I. Sugarman, Esq., Renan I. Sugarman, PC, Chicago, Illinois. Heather N. Landon ("Resp

Award NASD Dispute Resolution In the Matter of the Arbitration Between: er=: 01-5029 Todd A. Kaufman Prudential Securities, Inc. John H. Wolff g Site- Washington, DC ljCTPy.SF.NT A TUW OP PAPTTES Claimant, Todd A. Kaufman ("Kaufman"), hereinafter referred to as "Claimant" was represented by Peter C. Grenier, Esq., Bode & Grenier, L.L.P., Washington, DC. Respondents, Prudential Securities, Inc. ("Prudential") and John H. Wolff ("Wolff'), here

Award NASD In the Matter of the Arbitration Between: Names of the Claimants Case Number: 00-01340 Norman Bard and Shirley Bard Names of the Respondents Hearing Site:' Boca Raton, Florida Randall S. Appel, Appel Financial Planning, Ltd., Strategic Assets, Inc. and Ameriprop, Inc. REPRESENTATION OF PARTIES For Norman Bard and Shirley Bard, hereinafter collectively referred to as "Claimants": Daniel R. Korb, Jr., Esq. and Brian F. Amery, Esq., Bres

Amended Award NASD Dispute Resolution In the Matter of the Arbitration Between: Ronald Gold (Claimant) v. Dreyfus Service Corp., Mellon Advisor Services, Camille Sands, Timothy O'Grady, and Michael Schuermann (Respondents) Case Number: 01-05024 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member, Non-Member, and Associated Persons. REPRESENTATION OF PARTIES Claimant Ronald Gold ("Gold") hereinafter referred to as "Claimant": Jona

Award NASD Dispute Resolution Tn the Matter of the Arbitration Between: Ronald Gold, (Claimant) vs. Dreyfus Service Corp., Timothy O'Grady, Camille Sands, Michael Schuerman, and Mellon Advisor, (Respondents) Case Number: 01-05024 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Ronald Gold, hereinafter referred to as "Claimant", appeared pro se. Respondents, Dreyfus Service Corp. ("Drey/us"), Timothy O'Grady ("O'Grady"), Carnille

N.A.S.D. AWARD NATIONAL ASSOCUTION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Arbour Financial Corporation 93-01402 Arbor Trading Group, Inc. REPRESENTATION For Claimam/Coumer-Respondent: Ajhaax Financial Corporation (AFC) was represented by John E. O'Neill, Esq. of Clements, O'Neill , Pierce & Nickens, L.L.P., located in Houston, Texas. For Respondent/Counter-Claunant: Arbor Trading Group, Inc. ("ATG") w

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Richard's Concrete Finishing, Inc. 93-00735 Name of Respondents F.N. Wolf & Co., Inc. Sean E. Kilmartin For Claimant Richard's Concrete Finishing, Inc.: J. Mitchell Aberman, Esq. of the law firm of James, McElroy & Diehl. Fbr Reqwndents F.N. Wolf & Co., Inc. and Sean E. Kilmaitin ("Kilmaitin"): Robert H. Tiller, Esq. of the

NASD Arbitration No. 93-00438 N.A.S.D. AWARD NATIONAL ASSOCTATTDN OF SECURITTFfi DRAT.FP.q. TNC. In the matter of the Arbitration Between Name o£ claimant(s) Sharon Nichols Merrill Lynch, Pierce, Fenner & Smith, Inc. William S. Stapakis Kim Mehta RgPREgBMTATTQM For Claimant: Constance K. Wigod, Esq., Costa Mesa, California For Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc.: Thomas L. Taylor, III, Esq., Jones, Bell, Simpson &

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECLTUTIES DEALERS In the Matter of the Arbitration Between Name of Claimant Craig W. Bonnett 93-00188 dent People's Securities, Inc. REPRESENTATION For Claimant, CRAIG W. BONNET: appeared Pro Se. For Respondent, PEOPLE'S SECURITIES, INC.: John P. Wallace, Esq. of People's Securities, Inc. CASE INFORMATION Statement of Claim filed: January IS, 1993. Claimant's Submission Agreement signed on

NASD Arbitration No.92-01780 N.A.S.D. AWARD NJATIQNAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Pamala Lee Hembd Name of Respondent(s) Fidelity Brokerage Services, Inc. REPRESENTATION For Claimant: Pamela Lee Hembd, Newport Beach, Califomia For Respondent: Shirli Fabbri Weiss, Esq., Gray, Cary, Ames & Frye, San Diego, Califomia CASE INFORMATION Statement of Claim filed: May 28,