Award NASD Dispute Resolution In the Matter of the Arbitration Between: David Strine Trust, by and through Donald Strine and Diane Strine as trustees, Donald Strine, individually, and Diane Strine, individually (Claimants) vs. Wasserman & Associates and Timothy Trimmer (Respondents) Case Number: 06-02866 Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Claimants Davi

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Richard Crescenzo (Claimant) vs. Prudential Securities, Inc., Wachovia Securities LLC, and Joan Schwartz (Respondents) Case Number. 05-01768 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Members and Associated Person. REPRESENTATION OF PARTIES Claimant Richard Crescenzo hereinafter referred to as "Claimant": Stephen W. Wilk, Esq., Westbury, NY.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Jay Gianni (Claimant) vs. John James Investments Limited and John James Future Group Limited (Respondents) Case Number: 06-02697 Hearing Site: Buffalo, New York Nature of the Dispute: Associated Person vs. Members. REPRESENTATION OF PARTIES Claimant Jay Gianni hereinafter referred to as "Claimant" appeared pro se. Respondents John James Investments Limited ("JJ Investments") and

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Spencer C. Young, III (Claimant) vs. Morgan Stanley & Co., Incorporated (Respondent) Case Number: 03-04798 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Spencer C. Young, III, ("Claimant") appeared pro se. Previously represented by Patrick J. Boyd, Esq., The Boyd Law Group, PLLC, New York, NY. Previously

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Michael Picozzi (Claimant) v. Lehman Brothers, Inc., and William Philip Walsh (Respondents) Case Number: 05-06317 Hearing Site: New/York, New York Nature of the Dispute: Customer v. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Michael Picozzi hereinafter referred to as "Claimant": Timothy A. Valliere, Esq., Bushell & Valliere, LLP, New York, NY.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Celeste Pisano and Helene P. Ermocida (Claimants) vs. MetLife Securities Inc., Metropolitan Life Insurance Company, and William Stinger (Respondents) Case Number: 06-00227 Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Customers vs. Members and Associated Person. REPRESENTATION OF PARTIES Claimants Celeste Pisano ("Pisano") and Helene P. Ermocida ("Ermocida"), herei

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Elizabeth Bevier Claimant, v. Leonard & Company, Gary B. Callas, and Donald M. Leonard, Respondents. Case Number: NASD Case No. 99-003695 Hearing Site: N/A REPRESENTATION OF PARTIES Claimant: Elizabeth A. Bevier. Claimant was represented by Joseph H. Spiegel, Esq., Joseph H. Spiegel, P.C., 3000 Town Center, Suite 1820, Southfield, Michigan 48075. Res

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Frank and Ann Jurkiewicz (Claimants) v. Merrill Lynch, Pierce, Fenner & Smith, Inc., and Michael Sica (Respondents) Case Number: 06-01447 ; Hearing Site: Newark. New Jersey Nature of the Dispute: Customers v. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Frank Jurkiewicz ("F. Jurkiewicz") and Ann Jurkiewicz ("A. Jurkiewicz") hereinafter collectively r

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Murray Malinofsky (Claimant) vs. Harvey Permutt (Respondent) Case Number: 05-06599 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Associated Person. REPRESENTATION OF PARTIES Claimant Murray Malinofsky hereinafter referred to as "Claimant" appeared pro se. Respondent Harvey Permutt hereinafter referred to as "Respondent" did not enter an appearance in this

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-04741 Sandi Ann Ng Name of the Respondent Hearing Site: Boca Raton, Florida Suntrust Investment Services, Inc. Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Sandi Ann Ng appeared pro-se. For Respondent Suntrust Investment Services, Inc.: Jeffrey E. Mandel, Esq., Akerman Senterfitt,