N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between NameofClaimaflts William and Carol Palmer vs. 92-04334 NamcofResDondents Brean Murray, Foster Securities, Inc. Forrest J. Radin For Claimants: Vicki Kuftic Home, Esq. of Schucbert Hone, P.C., Pittsburgh, Pennsylvania. For Respondent: Brean Murray, Foster Securities, Inc: Metvin A. Schwart, Esq. of Decbert Price & Rhoads, New York, New York.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Brian Bakst and Sharon Bakst Case Number: 06-04475 vs. Name of the Respondent Citigroup Global Markets, Inc. d/b/a Smith Barney Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Brian Bakst and Sharon Bakst, hereinafter collectively referred to as "Claimants": Eric Norstedt, Esq.

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Gerald DeBenedictis and BNY Investment Center, Inc. (Claimants) vs. Elmie Bacchus (Respondent) Case Number: 06-03788 Hearing Site: New York, New York Nature of the Dispute: Associated Person and Member vs. Customer REPRESENTATION OF PARTIES Claimants Gerald DeBenedictis ("DeBenedictis") and BNY Investment Center, Inc. ("BNY") hereinafter collectively referred to as "C

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Hugo Dezio and Beryl Dezio (Claimants) vs. Sands Brothers & Co., Ltd., Ralph Johnson and Alex Shtaynberger (Respondents) Case Number: 02-00314 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Member and Associated Persons REPRESENTATION OF PARTIES Claimants Hugo Dezio ("H. Dezio") and Beryl Dezio ("B. Dezio") hereinafter collectively referred to a

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Tony Mandia and Lisa Mandia (Claimants) v. A.G. Edwards & Sons, Inc., and Michael Kreimer (Respondents) Case Number: 04-08511 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Tony Mandia ("T. Mandia") and Lisa Mandia ("L. Mandia"), hereinafter collectively referred to as "Claimants"

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Joan Mortner (Claimant) vs. Prudential Securities Incorporated n/k/a Prudential Equity Group, LLC (Respondent) : Case Number: 06-03641 Hearing Site: Hartford, Connecticut Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant Joan Mortner hereinafter referred to as "Claimant": Howard M. Rosenfield, Esq., Law Office of Howard M. Rosenfield, Farmington,

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASES: 99-03679 and 99-3683 J. B. Hanauer & Co., claimant vs. Scott Ceniccola, respondent. J, B. Hanauer & Co., claimant vs. Karen Weisberg, respondent. ATTORNEYS: For claimant J. B. Hanauer & Co., appeared George W. Arnett, III, of the firm Lowenstein Sandier, PC, Roseland, NJ. For respondents Karen Weisberg ("Weisberg"), and Scott Ceniccola ("Ceniccola"), appeared Dennis C. Dice Esq., of

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Soleil Securities Group, Inc., and Soleil Securities Corporation (Claimants) vs. Karen Short (Respondent) Case Number: 06-03090 Hearing Site: New York, New York Nature of the Dispute: Non- Member and Member vs. Associated Person. REPRESENTATION OF PARTIES Claimants Soleil Securities Group, Inc., ("SSG") and Soleil Securities Corporation ("SSC) hereinafter collectively referred t

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Michael R. Harding (Claimant) vs. Merrill Lynch Pierce Fenner & Smith, Inc. (Respondent) Case Number: 05-05656 Hearing Site: Cleveland, Ohio Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Michael R. Harding hereinafter referred to as "Claimant": Keith T. Vernon, Esq., The Vernon Law Firm, Washington, D.C. Respondent Merrill Lynch Pier

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Martin V. Vaughn (Claimant) vs. BOE Securities, Inc., Bufus Outlaw, Sabu Joseph, and Gregory Lavern Hobbs (Respondents) Case Number: 06-00047 Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Associated Person vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant Martin V. Vaughn hereinafter referred to as "Claimant": Thomas J. Momjian, Esq., Coss &