Award NASD Dispute Resolution In the Matter of the Arbitration Between: Jeffrey S. Vaughn (Claimant) vs. Leeds, Morelli & Brown, P.C., Leeds Morelli &-Browrv, L.L.P., Prudential Securities, Inc., Leeds & Morelli, Leeds Morelli & Brown, Lenard Leeds, Steven A. Morelli, Jeffrey K. Brown, Prudential Financial, Inc., James Vagnini, Frederic Ostrove, John Robert Valli, Jr., Discrimination on Wall Street, Inc., and Discrimination on Wall St. Manhattan, Inc. (Resp

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Oradell Leasing Corp., Saville Row Holding Corp., Mid Atlantic Properties, Mid Atlantic Leasing, Modellista de Europa S.A. (Vaduz) and Modellista de Europa (Claimants) v. Morgan Stanley Dean Witter, Inc., and Richard Greenspan (Respondents) Case Number: 04-06876 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Member and Associated Person REPRESENTATI

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 06-02132 Vincent J. DeFilippo (Claimant) v. James F. Ruttenberg (Respondent) ATTORNEYS: Claimant Vincent J. DeFilippo ("Claimant") appeared pro se, Stow, OH. For Respondent James F. Ruttenberg ("Respondent") appeared John P. Thomas, Esq., of the firm Janik & Dorman, LLP, Cleveland, OH. NATURE OF DISPUTE: Customer v. Associated Person DATE FILED: April 28, 2006. CASE SUMMARY: Claimant al

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 06-04518 Citigroup Global Markets, Inc., (Claimant) vs. Jordy George, (Respondent) ATTORNEYS: For Claimant appeared Erin A, Rowin, Esq., of the firm Lubiner & Schmidt, Cranford, NJ. Respondent appeared pro se, Rockaway Twp., NJ. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: October 11, 2006 CASE SUMMARY: Claimant alleged that Respondent failed to repay monies owed pursu

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 06-04458 Gregory Scott Taylor (Claimant) vs. Roderick Webb (Respondent) ATTORNEYS: Claimant Gregory Scott Taylor appeared pro se, Pebble Beach, CA. For Respondent Roderick Webb appeared John Bersin, Esq., Roseville, CA. NATURE OF DISPUTE: Associated Person v. Associated Person DATE FILED: October 6, 2006 CASE SUMMARY: Claimant alleged that Respondent owes him money for expenses and unpa

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 06-04722 Rita J. Prince (Claimant) vs. Blackrock Investments, Inc. (Respondent) ATTORNEYS: Claimant Rita J. Prince ("Claimant") appeared pro se, Pahrump, NV. For Respondent Blackrock Investments, Inc. ("Respondent") appeared Peter Vaughn, New York, NY. NATURE OF DISPUTE: Customer v. Member DATE FILED: October 18, 2006 CASE SUMMARY: Claimant alleged that she was charged Short Term Trade

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 06-04973 Kaoru Shibata and Judith A. Shibata (Claimants) vs. Kenneth Wilson Muth and Robert W. Baird & Co., Incorporated (Respondents) ATTORNEYS: Claimants Kaoru Shibata and Judith A. Shibata ("Claimants") appeared pro se, Inver Grove Heights, MN. For Respondents Kenneth Wilson Muth and Robert W. Baird & Co., Incorporated ("Respondents") appeared in-house counsel Moira K. Moran, Esq., Rober

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Bane of America Investment Services, Inc. vs. Name of Respondent Daniel R. Turpin Case Number: 05-05761 Hearing Site: St. Louis, Missouri NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES Bane of America Investment Services, Inc. ("Claimant") was represented by David H. Smith, Esq., Kane & Fischer, Ltd.,

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Jack Gun vs. Names of Respondents Morgan Stanley DW, Inc. and Scott D. Svirsky Case Number: 05-00172 Hearing Site: Detroit, Michigan NATURE OF THE DISPUTE Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Jack Gun ("Claimant") was represented by Bradford T. Yaker, Esq., Bradford T. Yaker, PC, Bingham Farms, Mi

AMENDED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant John Hagemeister vs. Case Number: 06-02358 Hearing Site: St. Louis, Missouri Names of Respondents Morgan Stanley DW, Inc. and Andrew W. Millas NATURE OF THE DISPUTE Customer vs. Member and Associated Person REPRESENTATION OF PARTIES John Hagemeister ("Claimant") was represented by Albert S. Watkins, Esq., Kodner Watkins Muchnick Weigl