Award NASD Dispute Resolution In the Matter of the Arbitration Between: Gregory F. Whitten and Ruth A. Whitten, Claimants v. VFinance Investments, Inc. and Robert Agriogianis, Respondents Case Number: 05-02103 Hearing Site: Seattle, Washington Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES For Claimants: James M. Shaker, Esq. Ryan, Swanson and Cleveland, PLLC Seattle, Washington For Respondent

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Wachovia Securities, LLC, Claimant v. Nicholas Krantz, Respondent Case Number: 06-04020 Hearing Site: Los Angeles, California Nature of the Dispute: Member v. Associated Person REPRESENTATION OF PARTIES For Claimant: Timothy N. Will, Esq. Albert & Will, LLP Torrance, California For Respondent: Nicholas Krantz In Propria Persona North Hollywood, California CASE IN

Award NASD Dispute Resolution In the Matter of the Arbitration Between: National Securities Corporation (Claimant) vs. Edward Irvin (Respondent) Case Number: 06-02171 Hearing Site: New York, New York Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant National Securities Corporation hereinafter referred to as "Claimant": Mark Roth, Esq., Golbeck Roth, PLLC, Seattle, WA. Respondent Edward Irvin hereinafter referred

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 06-05119 Patrick Allan Thomas (Claimant) vs. Legg Mason Wood Walker, Inc. and Littell Edward Wilson, Jr. (Respondents) ATTORNEYS: Claimant Patrick Allan Thomas appeared pro se, Atlanta, GA. For Respondents Legg Mason Wood Walker, Inc. and Littell Edward Wilson, Jr. appeared in-house counsel Jason W. Gaarder, Esq., Legg Mason Wood Walker, Inc., Baltimore, MD. NATURE OF DISPUTE: Customer

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 06-05344 Lila Fischer, (Claimant) vs. Howe Barnes Hoeffer & Arnett, Inc. and Michael Phillip, (Respondents) ATTORNEYS: For Claimant appeared John A. Dienner, III, Esq., of the firm Kubasiak, Fylstra, Thorpe & Rotunno, P.C., Chicago, IL. For Respondents appeared in-house counsel Matthew C. Boba, Esq., Chicago, IL. NATURE OF DISPUTE: Customer v. Member and Associated Person DATE FILED: De

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Jeffrey S. Polan, (Claimant) vs. Josephthal & Co. Inc. f/k/a Josephthal, Lyon & Ross and Lawrence Harkavy, (Respondents) Case Number: 99-03686 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Jeffrey S. Polan, hereinafter referred to as "Claimant": Erwin Cohn, Esq., Cohn & Cohn, Chicago, IL. Claimant originally appeared pro se. Respondents, Josephthal &

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-06203 Patricia A. Hoefener (Claimant) v. Edward D. Jones & Co., and Max Burks Fisher (Respondents) ATTORNEYS: Claimant Patricia A. Hoefener appeared pro se, Jefferson City, MO. For Respondents Edward D. Jones & Co., and Max Burks Fisher appeared Trae D. Meyr, Esq., of the law-firm of Greensfelder, Hemker & Gale, P.C., St. Louis, MO. NATURE OF DISPUTE: Customer v. Member and Associated Pe

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 06-04123 Ronald Hancock, (Claimant) vs. Bearguard Financial Services Limited, Charles Charalambous, Westminster Securities Corporation and John P. Oshea, (Respondents) ATTORNEYS: Claimant appeared pro se, Limassol, Cyprus. Respondent Bearguard Financial Services Limited is not a member of NASD and did not submit to arbitration in this forum. Respondent Charles Charalambous appeared pro se,

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 06-04401 Thomas Robert Neff and Sara M. Goslin Neff, (Claimants) vs. Robert W. Baird & Co. Incorporated, (Respondent) ATTORNEYS: Claimants appeared pro se, Cedar Rapids, IA. For Respondent appeared in-house counsel Moira K. Moran, Esq., Milwaukee, Wl. NATURE OF DISPUTE: Customers vs. Member DATE FILED: September 29, 2006 CASE SUMMARY: Claimants alleged that Respondent misrepresented fac

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant James R. Zavislak vs. Case Number: 03-00159 Hearing Site: Dallas, Texas Names of Respondents Salomon Smith Barney, Inc., n/k/a Citigroup Global Markets, Inc., Sanford Weill, Michael A. Carpenter, John J. Hoffman, Kevin J. McCaffrey, Jeffrey R. Waters, and Jack B. Grubman NATURE OF THE DISPUTE Customer vs. Member and Associated Persons REP