Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Alex and Deborah Cojocar (Claimants) vs. First Union Securities (n/k/a Wachovia Securities, LLC) and Larry Ennis (Respondents) Case Number: 05-00782 Hearing Site: Newark, New Jersey Nature of the Dispute: Customers vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Alex and Deborah Cojocar hereinafter referred to as "Claimants": Richard D. DeVita, E

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 06-05118 Lawrence E. and Ruth M. Eaton, (Claimants) vs. TD Ameritrade, Inc., (Respondent) ATTORNEYS: Claimants appeared pro se, Naples, FL. For Respondent appeared in-house Kelly R. Davis, Esq., Bellevue, NE. NATURE OF DISPUTE: Customers vs. Member DATE FILED: November 21, 2006 CASE SUMMARY: Claimants alleged that Respondent placed unauthorized trades in their account Claimants maintain

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Jacqueline O'Donnell (Claimant) vs. Securities Services Network, Inc., and Michael Giokas (Respondents) Case Number: 06-00589 Hearing Site: Buffalo, New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Jacqueline O'Donnell hereinafter referred to as "Claimant": Rosalind M. Robertson, Esq., East Alton, IL. Previously repres

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 06-05261 Joseph Pfeffer, (Claimant) vs. Ameritrade, Inc., (Respondent) ATTORNEYS: Claimant appeared pro se, Belleville, NJ. For Respondent appeared in-house counsel James J. Vihstadt, Esq., Bellevue, NE. NATURE OF DISPUTE: Customer vs. Member DATE FILED: December 5, 2006 CASE SUMMARY: Claimant alleged failure to execute. Claimant maintained that due to Respondent's actions, he suffered

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 06-03697 Charles R. Lyon, (Claimant) vs. Sll Investments, Inc., and John Kavalec (Respondents) ATTORNEYS: Claimant Charles R. Lyon ("Claimant") appeared pro se, Bridgeview, IL. For Respondent Sll Investments, Inc., ("Respondent") appeared Eric A. Michaels, Esq., of the firm Hertz, Schram & Saretsky, P.C., Bloomfield Hills, MT. Respondent John Kavalec ("Respondent") did not submit an Answer

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Andrew Young, (Claimant) v. Michael Scott, (Respondent) Case Number: 99-03639 Hearing Site: Chicago, Illinois Claimant Andrew Young ("Young"): pro se. Respondent Michael Scott ("Scott"): pro se. Originally represented by Brian Reis, Esq., Brian Reis & Associates, New York, New York who withdrew on August 07, 2001. CASE INFORMATION Statement of Claim filed on or about

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Christopher Gallo (Claimant) vs. Merrill Lynch Pierce Fenner & Smith (Respondent) Case Number: 06-01397 Hearing Site: Cleveland. OH Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Christopher Gallo hereinafter referred to as "Claimant": Barbara Quinn Smith, Esq., And Tom Caldwell, Esq., Maddox Hargett & Caruso, P.C., Cleveland, OH. Respondent Merri

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Jan Forysiak (Claimant) vs. Scottrade, Inc. and Dennis Doherty (Respondents) Case Number: 06-02193 Hearing Site: New York. New York Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant Jan Forysiak hereinafter referred to as "Claimant" appeared pro-se. Respondents Scottrade, Inc. ("Scottrade") and Dennis Doherty ("Doherty") hereinafter

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Bear, Steams & Co., Inc., Claimant v. Michael J. Goldberg, Respondent Michael J. Goldberg, Counter-Claimant v. Bear, Stearns & Co., Inc., Counter- Respondent Case Number: 06-03465 Hearing Site: Los Angeles, California Nature of the Dispute: Member v. Associated Person Associated Person v. Member REPRESENTATION OF PARTIES For Claimant and Counter-Respondent Bear, Steams &

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Albert and Diane B. Banis vs. Case Number: 05-01064 Hearing Site: Chicago, Illinois Names of Respondents Citigroup Global Markets, Inc., and Richard Drayton, Jr., John A. Admiak, Douglas H. Delong, and Steven H. Burns NATURE OF THE DISPUTE Customers vs. Member and Associated Persons REPRESENTATION OF PARTIES Albert and Diane B. B