NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 07-00264 Empire Financial Group, Inc., (Claimant) vs. Michael G. Eathorne and James B. Brinkman, (Respondents) ATTORNEYS: For Claimant appeared Richard J. Babnick, Jr., Esq., of the firm Sichenzia Ross Friedman Ference LLP, New York, NY. Respondent Michael G. Eathorne appeared pro se, Douglas, WY. Respondent James B. Brinkman appeared pro se, Elk Grove, CA. NATURE OF DISPUTE: Member v.

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 06-03485 Angelina Burnley (Claimant) vs. Cheryl Jimerson, InvestPrivate, Inc., Scott Mathis, and Donald Geraghty (Respondents) ATTORNEYS: For Claimant Angelina Burnley ("Claimant") appeared Romaine L. Gardner, Esq., of Lincoln Square Legal Sen/ices, Inc., New York, NY. For Respondents InvestPrivate, Inc., Scott Mathis, and Donald Geraghty ("Respondents") appeared Eric S. Hutner, Esq., New Y

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant David Gwynn and 99-03774 Scottsdale, Arizona Name of Respondents Fox & Company James Wilfred Moldermaker REPRESENTATION OF PARTIES David Gwynn ("Claimant") was represented by Jesse B. Simpson, Esq. and Randy Papetti, Esq., Lewis and Roca, LLP, Phoenix, Arizona. Fox & Company ("Respondent Fox") and James Wilfred Moldermaker ("Respondent Moldermak

stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 06-03927 UBS Financial Services Inc. PW Aspen Management, LLC PW Fund Advisor, LLC Bruce Rudenberg Names of the Respondents Hearing Site: Boca Raton, Florida Gloria Roth Trust under agreement dated 06/07/89 and through its trustee, Gloria Roth Bernard Roth Trust under agreement dated 06/07/89, by and through its trustee,

Modified Award NASD Dispute Resolution In the Matter of the Arbitration Between: RBC Dain Rauscher Inc. (Claimant) vs. Mark T. Whaley, David D'Arcangelo, and Bear Stearns & Co., Inc. (Respondents) Case Number: 05-04493 Hearina Site: Newark, New Jersey Nature of the Dispute: Member vs. Associated Persons and Member. REPRESENTATION OF PARTIES Claimant RBC Dain Rauscher Inc. hereinafter referred to as "Claimant": Gary W. Garner, Esq., and Tern L. Ahren

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 07-00051 Carolyn H. Lingeman, M.D. (Claimant) vs. UBS Financial Services, Inc. and Lloyd Victor Seested, Jr. (Respondents) ATTORNEYS: For Claimant Carolyn H. Lingeman, M.D. appeared Arthur G. House, Esq., of the law- firm of Paley Rothman, Bethesda, MD. For Respondents UBS Financial Services, Inc. and Lloyd Victor appeared in-house counsel Erin M. Naftali of UBS Financial Services, Inc., Ne

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 07-00637 Daniel T. Welischar and Jane E. Welischar, (Claimant) vs. E*Trade Securities LLC, (Respondent) ATTORNEYS: Claimants appeared pro se. Port Jefferson, NY. For Respondent appeared in-house counsel, John Bersin, Esq., Roseville, CA. NATURE OF DISPUTE: Customers vs. Member DATE FILED: February 26, 2007 CASE SUMMARY: Claimants alleged that Respondent failed to execute a trade and

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Harold L. Gechtman (Claimant) vs. Merrill Lynch, Pierce, Fenner & Smith, Inc. (Respondent) Case Number: 05-03004 Hearing Site: Newark, New Jersey Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Harold L. Gechtman hereinafter referred to as "Claimant": Darren J. Leotti, Esq., Mauro, Savo, Camerino & Grant, P.A., Sommerville, NJ. Respondent Merri

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants James J. George and Beth A. George, Individually and as Trustees vs. Case Number: 05-05574 Hearing Site: St. Louis, Missouri Names of Respondents A.G. EdwanJs & Sons, Inc. and William Feny NATURE OF THE DISPUTE Customers vs. Member and Associated Person REPRESENTATION OF PARTIES James J. George and Beth A. George ("Georges" or "Claimants")

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Advest, Inc. and Merrill Lynch, Pierce, Fenner & Smith, Inc. vs. Case Number: 06-01479 Hearing Site: Pittsburgh, Pennsylvania Names of Respondents RBC Dain Rauscher, Inc., David J. Giovanni, and Robert W. O'Leary NATURE OF THE DISPUTE Members vs. Member and Associated Persons REPRESENTATION OF PARTIES Advest, Inc. ("Advest") and Merrill