Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-01083 Jeremy Commisso Names of the Respondents Hearing Site: Boca Raton, Florida Hornblower & Weeks, Inc. Christopher Raymond Janish John Rooney Eric Lee Ellenhorn Arthur Sereno Nature of the Dispute: Customer vs. Terminated Member and Associated Person. REPRESENTATION OF PARTIES For Jeremy Commisso, hereinafter referred to as

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 05-06078 Miriam K. Belman Names of the Respondents Hearing Site: Atlanta, Georgia Wachovia Securities, LLC Joseph Francis Goryl, III Charles Greene Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Miriam K. Belman, hereinafter referred to as "Claimant", appeared pro se until January 9, 2007.

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Douglas R. Maxson vs. Name of Respondent Gauro Coen Case Number: 05-02425 Hearing Site: Kansas City, Missouri NATURE OF THE DISPUTE Customer vs. Associated Person REPRESENTATION OF PARTIES Douglas R. Maxson ("Claimant") appeared pro se. Gauro Coen ("Respondent") appeared pro se. CASE INFORMATION The Statement of Claim was filed on or

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 99-03622 Emil Yamen Shasha, claimant vs. Camelot Investment Corp., John Joseph Fasano, Jr., & George Konstantinos Doumanis, respondents. ATTORNEYS: Claimant, Emil Yamen Shasha ("Claimant"),appeared Pro Se., New York, NY. For Respondent George Konstantinos Doumanis, ("Doumanis"), appeared Martini. Siegel, Esq., New York, NY. Respondents Camelot Investment Corp. and John Joseph Fasano,

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Randall P. Mayte vs. Case Number: 06-00718 Hearing Site: Houston, Texas Names of Respondents Prudential Equity Group, LLC and Matthew A. Bell NATURE OF THE DISPUTE Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Randall P. Mayte ("Claimant"} was represented by Gershon D. Cohn, Esq., San Antonio, Texas. Prude

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-02026 Carolyn C. Easterday Names of the Respondents Hearing Site: Washington, D.C. Legacy Financial Services, Inc. Joseph R. Karsner, IV Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Carolyn C. Easterday, hereinafter referred to as "Claimant": Debra G. Speyer, Esq., Philadel

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant James J. Stumpf, as Trustee for the Bankruptcy Estate of Allen W. Keiser vs. Name of Respondent Wells Fargo Investments, LLC Case Number: 05-01296 Hearing Site: Omaha, Nebraska NATURE OF THE DISPUTE Customer vs. Member REPRESENTATION OF PARTIES James J. Stumpf, as Trustee for the Bankruptcy Estate of Allen W. Keiser ("Claimant") was repre

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant/Counter-Respondent Citigroup Global Markets Inc. vs. Name of Respondent/Counter-Claimant Dwayne R. Anderson Case Number: 06-00348 Hearing Site: Des Moines, Iowa NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES Citigroup Global Markets Inc. ("Citigroup") was represented by Christopher J. Carney, Esq., Bro

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Debbie J. Steiner vs. Case Number: 06-01268 Hearing Site: Chicago, Illinois Names of Respondents Jodi A. Reed, Individually, and as Agent, Servant or Employee of Ryan Beck & Co., Inc.; John L. Demarco, Individually, and as Agent, Servant or Employee of Ryan Beck & Co., Inc.; and Ryan Beck & Co., Inc., a New Jersey Corporation NATURE OF THE DISPUT

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Lloyd B. Henrion vs. Names of Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. and John G. Mizzi Case Number: 05-05479 Hearing Site: Detroit, Michigan NATURE OF THE DISPUTE Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Lloyd B. Henrion ("Claimant") was represented by Michael L. Kalis, Esq., Michael L. Kalis &