Award NASD Dispute Resolution In the Matter of the Arbitration Between: Brian Langenberg (Claimant) vs. Soleil Securities Corporation (Respondent) Case Number: 05-06403 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Brian Langenberg hereinafter referred to as "Claimant": Richard M. Zaroff, Esq., Zaroff & Zaroff LLP, Garden City, NY. Respondent Soleil Securities Corporation her

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Merrill Lynch, Pierce, Fenner & Smith, Incorporated (Claimant) vs. Michael Fabel (Respondent) Case Number: 03-09192 Hearing Site: Cleveland, Ohio Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Merrill Lynch, Pierce, Fenner & Smith, Incorporated, hereinafter referred to as "Claimant": Timothy S. Cole, Esq., Rubin, Fortunate, Harbison & Dou

NASD DISr^UTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 06-04118 Wachovia Securities, LLC (Claimant) vs. Daniel R. SIddons (Respondent) ATTORNEYS: ~~ "~" "" "" " For Claimant Wachovia Securities, LLC appeared In-house counsel Douglas D. Callaway, Esq., Richmond, VA. Respondent did not submit an Answer to the Statement of Claim. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: September 12, 2006 CASE SUMMARY: Claimant Is seeking Co

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Joseph Glass (Claimant) vs. UBS Financial Services, Inc. and Thomas Boova (Respondents) Case Number: 04-04995 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Joseph Glass hereinafter referred to as "Claimant": Kevin T. Hoffman, Esq., Law Offices of Kevin T. Hoffman, Greenwich, CT.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: The Banl< of New Yorl< and JPI\/lorgan Chase Bank, N.A. as Trustees for the Nuveen Tax Exempt Unit Investment Trusts and JP Morgan Chase Bank (Claimant) vs. Wolfe Hurst Bond Brokers, Inc., and Gerard Wolfe, Sr. (Respondents) Case Number: 06-02541 Hearing Site: New York. New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Michael M. Miley (Claimant) vs. Citicorp Investment Services and Carol Dahl (Respondents) Case Number: 06-02114 Hearing Site: New York. New York. Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant Michael M. Miley hereinafter referred to as "Claimant": Denis G. Kelly, Esq., Kelly & Labeck, P.C, Long Beach, NY. Respondents Citi

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-02031 Morgan Keegan & Co., Inc. Name of the Respondent Hearing Site: Raleigh, North Carolina Kenneth V. Nelson Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Morgan Keegan & Co., Inc. ("MK"), hereinafter referred to as "Claimant": Shea O'Brien Hicks, Esq., Vice President, Associate Attorney, Memphis, Te

Award NASD Dispute Resolution In the Matter of tine Arbitration Between: Names of the Claimants Case Number: 04-03071 Tom Lester Shelton Whittington Kathryn D. Whittington Donald T. Erwin, M.D. MaryAbell, M.D. Steven W. Stogner, M.D. Names of the Respondents Hearing Site: New Orleans, Louisiana Merrill Lynch Pierce, Fenner & Smith, Inc. Henry Blodget Justin Baldauf Kirsten Campbell Virginia Syer Genereux Sofia Ghachem

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Wells Fargo Investments, LLC, Claimant v. Xin Shen, Respondent Case Number: 07-00081 Hearing Site: Los Angeles, California Nature of the Dispute: Member v. Associated Person REPRESENTATION OF PARTIES For Claimant: Deborah A. Mark, Esq. Kane & Fischer, Ltd. Chicago, Illinois Jacqueline H. Sung, Esq. Wells Fargo San Francisco, California Respondent did not enter an

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: John Burton and Patricia Sgrecci, (Claimants) vs. Wheat First Securities, Inc. and Andrew Whelan, (Respondents). Case Number: 99-03729 Hearing Site: Seattle, Washington. REPRESENTATION OF PARTIES John Burton and Patricia Sgrecci: Laurel H. Siddoway, Esq. Randall & Danskin Spokane, Washington. Wheat First Securities, Inc. and Andrew Whelan: Bernard C. Daly, Esq. Ulm