Award NASD Dispute Resoiution In the Matter of the Arbitration Between: Flextrade LLC (Claimant) vs. Paravane Partners, LLC and Leeb Brokerage Services, Inc. (Respondents) Case Number: 05-01531 Hearing Site: New York. New York Nature of the Dispute: Member vs. Members. REPRESENTATION OF PARTIES Claimant Flextrade LLC, hereinafter referred to as "Claimant": Jeffrey S. Boxer, Esq., and Joseph Asaro, Esq., Carter Ledyard & Milburn LLP, New York, NY.

Award NASD Dispute Resoiution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-04877 Richard Proia Names of the Respondents Hearing Site: Boca Raton, Florida Clive Cholerton Spectrum Assets, Inc. Nature of the Dispute: Associated Person vs. Non-Member and Associated Person. REPRESENTATION OF PARTIES For Richard Proia, hereinafter referred to as "Claimant": Delmer C. Gowing, III, Esq., Ocean Ridge, Florida. F

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 06-04876 Paul Games Alice Beatrice Games Names of the Respondents Hearing Site: Washington, D.C. M&T Securities, Inc. M&T Investment Group Paul Fantaskey Lou Ann Hinish John K. Beard Nature of the Dispute: Customer v. Member and Associated Person. REPRESENTATION OF PARTIES For Paul Games and Alice Beatrice Games, hereinafte

stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 07-01441 Paul Inserra Name of the Respondent Hearing Site: Raleigh, NC UBS Financial Services, Inc. Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES For Paul Inserra, hereinafter referred to as "Claimant": Marie L. Costello Inserra, Esq., Cary, NC. For UBS Financial Services, Inc. ("UBS"), hereina

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-03781 Charles Schwab & Co., Inc. claimant vs. Jilleen McKelvey, respondent. ATTORNEYS: For Claimant Charles Schwab & Co. Inc. ("Claimant"), Mauricio S. Beugelmans, Esq., Office of Corporate Counsel, Charles Schwab & Co., Inc. San Francisco, CA. Respondent, Jilleen McKelvey ("Respondent"), did not respond to the Claimant's Statement of Claim. DATE FILED: Au

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Ottilia Dee Baldwin vs. Name of Respondent Mesirow Financial Services, Inc. Case Number: 06-03231 Hearing Site: Indianapolis, Indiana NATURE OF THE DISPUTE Customer vs. Member REPRESENTATION OF PARTIES Ottilia Dee Baldwin ("Claimant") was represented by Andrew Stoltmann, Esq., Stoltmann Law Offices, P.C, Chicago, Illinois. Mesirow Financi

Award NASD Dispute Resoiution In the Matter of the Arbitrafion Between: David J. Lewis and Joann D. Lewis, Claimants v. Citigroup Global Markets, Inc. and Men-itt E. Benson, Respondents Case Number: 06-01849 Hearing Site: Cheyenne, Wyoming Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES For Claimants: Frank J. Jones, Esq. Law Office of Frank J. Jones Wheatland, Wyoming For Respondents: William A. Ho

Award NASD Dispute Resolution In the Matter of the Arbitrafion Between: Maxim Group LLC (Claimant) vs. Winston Smith and Vilma Smith (Respondents) Case Number: 07-00193 Hearing Site: New York, New York Nature of the Dispute: Member vs. Customers REPRESENTATION OF PARTIES Claimant Maxim Group LLC hereinafter referred to as "Claimant": Michael C. Farkas, Esq., Michael C. Farkas PLLC, New York, NY. Respondents Winston Smith and Vilma Smith hereinafter

Award NASD Dispute Resolution In the Matter of the Arbitrafion Between: Citigroup Global Markets, Inc., f/k/a Salomon Smith Barney, Inc. vs. Joseph J. Daveniero Case Number: 06-04589 Hearina Site: New York, New York Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Citigroup Global Markets, Inc., f/k/a Salomon Smith Barney, Inc., hereinafter referred to as "Claimant": Erin A. Rowin, Esq., Lubiner & Schmidt, Cran

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Loretta Hendrix, individually and as Executrix or Administrator of the Estate of Larry Hendrix (Claimants) vs. A.G. Edwards & Sons, Inc. (Respondent) Case Number: 05-05318 Hearing Site: New York. New York Nature of the Dispute: Customers vs. Member. REPRESENTATION OF PARTIES Claimants Loretta Hendrix, individually, ("L. Hendrix") and as Executrix or Administrator of the Estate o