AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Barbara Gerard and Barbara Gerard as Personal Representative of Cyril H. Gerard, deceased, and Successor Trustee of the Cyril H. Gerard Living Trust vs. Case Number: 06-03494 Hearing Site: Southfield, Michigan Name of Respondent Terry Laymon NATURE OF THE DISPUTE Customers v. Associated Person REPRESENTATION OF PARTIES Barbara Gerard an

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Gregory N. Elinsky (Claimant) vs. Goldman Sachs & Co., Inc. (Respondent) Case Number: 06-00697 Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Associated Person vs. Member REPRESENTATION OF PARTIES Claimant Gregory N. Elinsky hereinafter referred to as "Claimant": Rodney J. Heggy, Esq., Federman & Sherwood, Oklahoma City, OK. Respondent Goldman Sachs & Co., Inc.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Susquehanna Investment Group (Claimant) v. Lek Securities Corporation (Respondent) Case Number: 06-04037 Hearing Site: New York, New York Nature of the Dispute: Non-Member v. Member. REPRESENTATION OF PARTIES Claimant Susquehanna Investment Group hereinafter referred to as "Claimant": Charies M. Hart, Esq., Wolf, Block. Schorr and Solis-Cohen, LLP, Philadephia, PA. Respondent Le

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Richard C. Sloat, Jr., and Dorothy M. Sloat (Claimants) v. H.D. Vest Investment Securities, Inc. d/b/a/ H.D. Vest Investment Services and Frank H. Kelly (Respondents) Case Number: 05-04378 Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Customers vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Richard C. Sloat. Jr.. and Dorothy M. Sloat hereinaft

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Shelley C. Wheeler-Carreiro, Shelley C. Wheeler-Carreiro, IRA. Manuel C. Carreiro. IRA (Claimants) v. Merrill Lynch. Pierce, Fenner & Smith, Incorporated and Andrew S. Kampf (Respondents) Case Number: 06-00889 Hearing Site: Hartford, Connecticut Nature of the Dispute: Customers v. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Shelley C. Wheeler-Carreiro ("S.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Wachovia Securities, LLC. (Claimant) v. Leslie K. Johnson (Respondent) v. Prudential Equity Group. L.L.C, f/k/a Prudential Securities Incorporated (Third Party Respondent) Case Number: 05-06086 Hearing Site: New York, New York Nature of the Dispute: Initial Claim: Member v. Associated Person. Third-Party Claim: Associated Person v. Member. REPRESENTATION OF PARTIES Claimant

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Kayvan Karoon (Claimant) vs. First Montauk Securities Corporation (Respondent) Case Number: 06-03926 Hearing Site: Newark, New Jersey Nature of the Dispute: Associated Person vs. Member REPRESENTATION OF PARTIES Claimant Kayvan Karoon hereinafter referred to as "Claimant": Paul A. Liebennan, Esq., Law Offices of Paul A. Lieberman, Middletown, NJ. Respondent First Montauk Securit

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Charies Vincent Donahue (Claimant) v. PNC Investments (Respondent) Case Number: 06-03331 Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Associated Person v. Member. REPRESENTATION OF PARTIES Claimant Charies Vincent Donahue hereinafter referred to as "Claimant" appeared pro se. Respondent PNC Investments hereinafter referred to as "Respondent": Brian A. Cariis,

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 99-03730 j Barbara A. Hoyt, claimant vs. Aragon Financial Services, Inc. and C. Reed Carr, respondents. ATTORNEYS: ; Claimant appeared Pro Se, Kingwood, Texas j For respondent Aragon Financial Services, Inc. appeared Scott L. Warfman, Esq., Miami Florida ; Respondent Charles Reed Carr appeared Pro Se, Houston, Texas DATE FILED: August 13, 1999 CASE SUMMAR

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Gaston and Jacqueline Banna, and Alepco LTD. (Claimants) v. Merrill Lynch, Pierce, Fenner & Smith, Inc. (Respondent) Case Number: 04-05236 Hearing Site: New York, New York Nature of the Dispute: Customers v. Member. REPRESENTATION OF PARTIES Claimants Gaston Banna ("G. Banna"), Jacqueline Banna ("J. Banna"), and Alepco LTD. ("Alepco"), hereinafter collectively referred to as "Cl