Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 06-02509 Merrill Lynch, Pierce, Fenner & Smith Incorporated Advest, Inc. Name of the Respondent Hearing Site: Orlando, Florida Todd David Bernstein Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Merrill Lynch, Pierce, Fenner & Smith Incorporated ("Merrill") and Advest, Inc. ("Advest"), hereinafter co

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 05-06631 Robert A. Lewis Kearney C. C. Lewis Name of the Respondent Hearing Site: Washington, D.C. Citigroup Global Markets, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Robert A. Lewis and Kearney C. C. Lewis, hereinafter collectively referred to as "Claimants": Mark E. Maddox, Esq., Maddox Hargett &

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-03447 Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. Name of the Respondent Hearing Site: Boca Raton, Florida Scott Svirsky Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES For Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. ("Citigroup"), hereinafter referred to

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 05-06398 Pamela G. Lawrence Name of the Respondent Hearing Site: Atlanta, Georgia Goldman Sachs & Co. Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES For Pamela G. Lawrence, hereinafter referred to as "Claimant": Rodney J. Heggy, Esq., Federman & Sherwood, Oklahoma City, Oklahoma. For Goldman Sachs & Co., h

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-01691 Jean B. Carver Name of the Respondent Hearing Site: Charlotte, North Carolina A. G. Edwards & Sons, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Jean B. Carver, hereinafter referred to as "Claimant": W. Keith Martens, Hamilton Martens Ballou & Sipe, L.L.C., Rock Hill, South Carolina. For A. G. E

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Wendy Bender vs. Case Number: 06-01006 Hearing Site: Indianapolis, Indiana Name of Respondent Salomon Smith Barney n/k/a Citigroup Global Markets, Inc. NATURE OF THE DISPUTE Customer vs. Member Firm REPRESENTATION OF PARTIES Wendy Bender ("Bender" or "Claimant") was represented by A. Daniel Woska, Esq. and Charles C. Hunter, Esq., Woska & Hayes,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Izislav Kruchenetsky & Angela Davidor a/k/a Angela Davidov (Claimants) vs. TD Waterhouse Investor Services, Inc. (Respondent) Case Number: 99-03661 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants Izislav Kruchenetsky ("Kruchenetsky) & Angela Davidor a/ka Angela Davidov ("Davidor") hereinafter referred to as "Claimants" appeared pro se. Previously represented

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Richard and Catherine Lopardo and the Catherine Lopardo Trust vs. Names of Respondents Cowen & Company, n/k/a Financial Square Partners, SG Cowen Securities Corporation n/k/a SG Cowen & Co., LLC, and Lehman Brothers, Inc. Case Number: 04-04050 Hearing Site: Milwaukee, Wisconsin NATURE OF THE DISPUTE Customers vs. Members and Terminated

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Wachovia Securities, LLC, Claimant v. Timothy J. Morgan, Respondent Case Number: 06-03417 Hearing Site: San Diego, 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: Timothy J. Morgan In Propria Persona Atlanta, Georgia CASE INFORMATION

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Jerold W. Wiegand and Marie L. Wiegand, Individually and Joint Tenants with Rights of Survivorships, Claimants v. Edward D. Jones & Co., L.P. and Scott C. Harris, Respondents Case Number. 06-03202 Hearing Site: San Francisco, California Nature of the Dispute: Customers vs. Member and Associated Person REPRESENTATION OF PARTIES For Claimants: Albert L. Boasberg, Esq. Attorney