Award NASO Dispute Resolution In the Matter of the Arbitration Between: Claire Wee, an individual, Claimant v. Merrill Lynch, Pierce, Fenner & Smith Incorporated, Respondent Case Number: 06-05064 Hearing Site: Los Angeles, California Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES For Claimant: Montgomery G. Griffin, Esq. Law Offices of Montgomery G. Griffin Newport Beach, Califomia For Respondent: H. Kyeng Lee, Esq.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Leonard J. Slaga (Claimant) v. Joseph A. Ferron, III, and FFP Securities, Inc. (Respondents) Case Number: 04-07129 Hearing Site: Hartford, Connecticut Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Leonard J. Slaga, hereinafter referred to as "Claimant" appeared pro se. Previously represented by Eric I. Michelman, Esq., Law O

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Citigroup Global Markets, Inc., The Successor in Interest to Legg Mason Wood Walker, Inc. (Claimant) vs. George I. Torrella (Respondent) Case Number: 06-03482 Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant Citigroup Global Markets, Inc., The Successor in Interest to Legg Mason Wood Walker, Inc., her

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Bart Delgado Sabal (Claimant) vs. Sky Capital, LLC and Michael Passaro (Respondents) Case Number: 06-02412 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Bart Delgado Sabal hereinafter referred to as "Claimant": Jenice L. Malecki, Esq., Malecki Law, New York, NY. Respondents Sky Capital, LLC (

Award NASD Dispute Resolution in the Matter of the Arbitration Between: Michael Schaeffer (Claimant) vs. Memll Lynch, Pierce, Fenner & Smith Inc. (Respondent) Case Number: 05-04001 Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant Michael Schaeffer hereinafter referred to as "Claimant": Timothy A. Canning, Esq., Law Offices of Timothy A. Canning, Novate, CA. Previously represented

stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Alfred Schonberger, Judith Schonberger, and the Schonberger Family Trust (Claimants) V. Fahnstock & Co., Inc., also know as Oppenheimer & Co., Inc., individually, and as successor in interest to Prime Charter LTD, and Robert Roever (Respondents). Case Number: 05-00877 Hearing Site: New York, New York Nature of Dispute: Customers vs. Member and Associated Person. REPRESENT

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Richard and Gayla Buri< e, Claimants v. Wilson-Davis & Company and Randy Heber Carison, Respondents Case Number: 05-05541 Hearing Site: Salt Lake City, Utah Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES For Claimants: James E. Miller, Esq. Shepherd Finkelman Miller & Shah, LLC Chester, Connecticut For Respondents

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-03164 Giovanni L. Acevedo Names of the Respondents Hearing Site: Boca Raton, Florida Christina Marie Doone Questar Capital Corporation Nature of the Dispute: Associated Person vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Giovanni L. Acevedo appeared pro se. For Respondent Christina Marie Doone ("Doone"): Denis

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Trautman Wasserman & Co., Inc., (Claimant) vs. Richard Rosenblum, David Stefansky, and Vincent Calicchia, (Respondents) vs. Gregory O. Trautman (Third-Party Respondent) Case Number: 99-03732 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Trautman Wasserman & Co., Inc., hereinafter referred to as "Claimant": Mara L. Taylor, Esq., Proskauer Rose LLP, New Yo

STIPULATED AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Names nf f7.1aimaiite Eugene C. Coiway and Dorothy M. Sorsby NASD Case No. 98-04157 Name^ nf ReSDOndentS Financial Consultant Group, Inc. n/k/a Financial Consultant Group, LLC and Frank P. Welsh i^ir.ppiMii:NTATION OF PARTIES For Clainumts Eugene C. Conway ("Conway") and Dorothy M. Sorsby ("Sorsby") (collectively, the "Claunants"): John R. Kiefher, Jr., E