Award NASD Dispute Resolution In the Matter of the Arbitration Between: Edward Short (Claimant) vs. Patrick Accetta (Respondent) Case Number: 06-04683 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Associated Person. REPRESENTATION OF PARTIES Claimant Edward Short ("Claimant"): Michael P. Gilmore, Esq., Sims Moss Kline & Davis, LLP, Mineola, NY. Respondents Patrick Accetta ("Respondent") appeared pro se. CASE INFOR

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 06-03228 GunnAllen Financial, Inc, (Claimant) vs. Nicholas Bentivegna , (Respondent) ATTORNEYS: For Claimant appeared Michael S. Colombo, President/CEO of StreetWide Asset Recovery Group, Inc., Lyndhurst, NJ. Respondent did not submit an Answer to the Statement of Claim. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: July 5, 2006 CASE SUMMARY: Claimant alleged that Responden

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Dr. Steven L. McKnight and Jacquelynn A. McKnight, as Trustee of the 1999 Steven L. McKnight Exempt Family Trust vs. Case Number: 06-00123 Hearing Site: Dallas, Texas Name of Respondent Goldman, Sachs and Company NATURE OF THE DISPUTE Customers vs. Member REPRESENTATION OF PARTIES Dr. Steven L. McKnight ("S. McKnight") and Jacquelynn A. McK

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Suzanne Pica, (Claimant) vs. Philip Licausi, Pruco Securities Corporation, and The Prudential Insurance Company of America, (Respondents) Case Number: 99-03617 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Suzanne Pica, hereinafter referred to as "Claimant": Jeffrey S. Schecter, Esq., Jeffrey S. Schecter & Associates, P.C., Garden City, NY. Responden

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants David A. Toshner and Patricia A. Toshner vs. Case Number: 06-04580 Hearing Site: Milwaukee, Wisconsin Names of Respondents Morgan Stanley DW, Inc., Howard W. Witt, Jr., Gene B. Harbort, and Robert Frank NATURE OF THE DISPUTE Customers vs. Member and Associated Persons REPRESENTATION OF PARTIES David A. Toshner and Patricia A. Toshner

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Dorothy C. Freeman vs. Names of Respondents Waddell & Reed, Inc. and David J. Jackson Case Number: 06-01704 Hearing Site: Kansas City, Missouri NATURE OF THE DISPUTE Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Dorothy C. Freeman ("Claimant") was represented by Barry D. Estell, Esq., Mission, Kansas. Waddell & Reed,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Alan R. Marcum, Claimant v. Northeast Securities, Inc., Respondent Northeast Securities, Inc., Counter-Claimant v. Alan R. Marcum, Counter-Respondent Case Number: 06-03072 Hearing Site: San Francisco, California Nature of the Dispute: Associated Person v. Member Member v. Associated Person REPRESENTATION OF PARTIES For Claimant and Counter-Respondent: William P. Torngren, Esq.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Renee Montreuil (Claimant) vs. Janney Montgomery Scott, LLC (Respondent) Case Number: 06-02284 Hearing Site: Boston, Massachusetts Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Renee Montreuil hereinafter referred to as "Claimant": appeared pro se. Respondent Janney Montgomery Scott, LLC, hereinafter referred to as "Respondent": James P.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Barbara Newman (Claimant) vs. Gladowsky Capital Management Corp. (Respondent) Case Number: 05-04190 Hearing Site: New York. New York Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Barbara Newman, hereinafter referred to as "Claimant": Judy Mok, Lincoln Square Legal Services, New York, NY. Respondent Gladowsky Capital Management Corp., hereinafter

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Brian Weiss Individually and as Trustee of the Brian E. Weiss, DOS, P.C. Profit Sharing Plan (Claimants) v. Broadband Capital Management, Elliot Smith, Michael Rapp, and Jeffery Meshel (Respondents) Case Number: 06-01219 Hearing Site: New York. New York Nature of the Dispute: Customers vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimants Brian Weiss Individuall