AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Joseph Sutton and Betty Lou Sutton vs. Case Number: 06-01885 Hearing Site: Houston, Texas Names of Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc., Richard Roger Brewer, Memll Lynch Life Agency, Inc., and ML Life Agency, Inc. NATURE OF THE DISPUTE Customers vs. Member, Associated Person, and Non-Members REPRESENTATION OF PARTIES Jos

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Marcus Hwong vs. Case Number: 06-00277 Hearing Site: Chicago, Illinois Names of Respondents Banc of America Investment Services, Inc. and Quick & Reilly, Inc. NATURE OF THE DISPUTE Associated Person vs. Member and Terminated Member REPRESENTATION OF PARTIES Marcus Hwong ("Claimant") was represented by Lawrence C. Hersh, Esq., Rutherford, New

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Joseph Martinez, Claimant v. Whale Securities Co., L.P., Respondent Case Number: 99-03770 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: Brett Saddler Donner Corp. International Santa Ana, California For Respondent: David S. Richan, Esq. Blank Rome Tenzler Greenblatt LLP New York, New York CASE INFORMATION Statement of Claim f

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Dennis Sagerand Dennis Sager, IRA vs. Case Number: 06-03013 Hearing Site: Chicago, Illinois Names of Respondents Rodger Lee Sager and Princor Financial Services Corporation and Cross-Claimant Princor Financial Services Corporation vs. Respondent/Cross-Respondent Rodger Lee Sager NATURE OF THE DISPUTE Customers vs. Associated Per

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-02775 George Luis Salguero Name of the Respondent Hearing Site: Boca Raton, Florida Citigroup Global Markets, Inc. Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES For George Luis Salguero, hereinafter referred to as "Claimant": William R. Amlong, Esq., Amiong & Amiong, P.A., Fort Lauderdale, Florida. For

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-02445 Wachovia Securities, LLC Name of the Respondent Hearing Site: Baltimore, Maryland Robert E. Lanahan Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Wachovia Securities, LLC, hereinafter referred to as "Claimant": Renan 1. Sugarman, Esq., Renan Sugarman, P.C, Chicago, Illinois. For Respondent Ro

Award NASD Dispute Resolution In the Matter of the Arbitration Between: The Shemano Group, Inc., Claimant v. Generex Biotechnology Corporation, Respondent Generex Biotechnology Corporation, Counter-Claimant v. The Shemano Group, Inc., Counter-Respondent Case Number: 06-04350 Hearing Site: San Francisco, California Nature of the Dispute: Member v. Non-Member Non-Member v. Member REPRESENTATION OF PARTIES For Claimant/Counter-Respondent Th

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Sheila M. Eger, Claimant v. Citigroup Global Markets, Inc., Respondent Case Number: 06-05158 Hearina Site: Los Angeles, California Nature of the Dispute: Associated Person v. Member REPRESENTATION OF PARTIES For Claimant: For Respondent: William S. Bonnheim, Esq. William S. Bonnheim, PLC Palm Desert, California Melanie L. Ronen, Esq. Keesal, Young & Logan

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Computer Clearing Services Inc., Claimant v. Pascal Simonon, Respondent Case Number: 05-06526 Hearing Site: Los Angeles, California Nature of the Dispute: l\^ember v. Customer REPRESENTATION OF PARTIES For Claimant: For Respondent: Audette P. Morales, Esq. Keesal, Young & Logan Long Beach, California Pascal Simonon In Propria Persona Luxembourg CASE I

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of tlie Arbitration Between Name of Claimants Joel and Julie Yoliay Case vs. #94-00035 Name of Respondents Siiearson Lehman Brothers, Inc. Russell James Lucas REPRESENTATION For Claimants, Joel and Julie Yohay ("Claimants"), Mark Heinze, Esq. from the law finii of Monaghan, Rem & Zeller, P.C, located in New York, New York. For Respondent, Smith Barney Shearson ("