Award NASD Dispute Resolution In the Matter of the Arbitration Between: Robert Olsen and Isabel Olsen, and David Wakelee and Constance Wakelee (Claimants) vs. Wachovia Securities, LLC, Gerald Stonehouse, and Michael F. Payne (Respondents) Case Number: 04-02704 Hearing Site: Boston, Massachusetts Nature of the Dispute: Customers vs. Member and Associated Person and Non- Member. REPRESENTATION OF PARTIES Claimants Robert Olsen and Isabel Olsen, an

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Abel C. Crespo and Eva A. Crespo, Claimants v. Morgan Stanley DW Inc., Respondent Case Number: 05-03396 Hearing Site: Los Angeles, California Nature of the Dispute: Customers v. Member REPRESENTATION OF PARTIES For Claimants: Marc I. Zussman, Esq. Law Office of Marc I. Zussman Los Angeles, California For Respondent: Ronald Wood, Esq. Christine A. Pham, Esq. The Wood

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Richard Waxrnan, individually, and on behalf of the Estate of Norman Waxman (Claimants) vs. AXA Advisors, LLC and Thomas Ruggiero (Respondents) Case Number: 06-04702 Hearing Site: New York, New York Nature of the Dispute: Non-Members vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Richard Waxman, individually, and on behalf of the Estate of Norman Waxman he

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 07-00475 Hai Luo, (Claimant) vs. Royal Alliance Associates, Inc., (Respondent) ATTORNEYS: Claimant appeared pro se, Monroe, NY. Respondent did not submit an Answer to the Statement of Claim. NATURE OF DISPUTE: Customer vs. Member DATE FILED: February 5, 2007 CASE SUMMARY: Claimant alleged omission of facts, failure to supervise, failure to execute and negligence. Claimant maintained tha

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Sanjay Yodh (Claimant) vs. Deutsche Bank Securities, Inc., Deutsche Bank Trust Company of America, DEAM Investor Services, and Erick Kirsch (Respondents) Case Number: 06-04182 Hearing Site: New York. New York Nature of the Dispute: Associated Person vs. Members and Non-Members. REPRESENTATION OF PARTIES Claimant Sanjay Yodh hereinafter referred to as "Claimant": Blaine H.

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Raymond Doyle, Michael Halen, Matt Mattimore, Peter Doyle, Peter Mastrostefano, Sam Suhaka, Larry Stavitski and Nick Bonsignore (Claimants) vs. Heartland Securities Corp., and Randolph Lee Hill (Respondents) Case Number: 05-06455 Hearing Site: New York, New York Nature of the Dispute: Associated Persons vs. Member and Associated Person. REPRESENTATION OF PARTIES Claim

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Alison Wendy Winston Living Trust, Claimant v. Salomon Smith Barney, Inc. (f/k/a Smith Barney, Inc.) and Fred Burrows. Respondents Case Number. 99-03705 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: William F. Davis, Esq. Law Office of William F. Davis Los Angeles, California For Respondents: ; David M. Bartholomew, Esq. Keesal,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-03102 William H. Durham, 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 Edward McCabe Deepak Raj Phua K. Young Fund Asset Management, L.P. Nature of the Dispute: Customer

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Rodney D. Ellis vs. Case Number: 06-01227 Hearing Site: Troy, Michigan Names of Respondents Lincoln Financial Advisors Corp. and The Lincoln National Life Insurance Company Consolidated with Names of Claimants Lincoln Financial Advisors Corp. and The Lincoln National Life Insurance Company vs. Case Number: 06-02347 Hearing Site: Troy, Mic

Award NASD Dispute Resolution In the Matter of the Arbitration Between: James Karmas and Georgia Karmas (Claimants) vs. Nicholas Papamichael, Morgan Stanley DW, Inc., Merrill Lynch, Pierce, Fenner & Smith, Inc., and Citigroup Global Markets, Inc. (Respondents) Case Number: 04-07289 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Associated Person and Members. REPRESENTATION OF PARTIES Claimants James Karmas and Georgia Karmas,