AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Randy V. Napier, Individually, Randy V. Napier, as Custodian of his IRA Account, Randy V. Napier on Behalf of Their Joint Account, Alice R. Napier, Individually, Alice R. Napier, as Custodian of her IRA, Alice R. Napier, on Behalf of Their Joint Account, Alvin W. Morgan, Individually, Alvin W. Morgan, as Custodian of his IRA Account, Charles E. Hoskins

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 05-00295 Myles Runsdorf Adam Runsdorf Cheryl Runsdorf Names of the Respondents Hearing Site: Boca Raton, Florida Morgan Stanley DW, Inc. Walter Buhay Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Myles Runsdorf, Adam Runsdorf, and Cheryl Runsdorf, hereinafter collectively referr

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-02469 Scottrade, Inc. Name of the Respondent Hearing Site: Memphis, Tennessee Ernest Paul Lukas Nature of the Dispute: Member vs. Customer. REPRESENTATION OF PARTIES For Scottrade, Inc., hereinafter referred to as "Claimant": Thomas L. Lazar, Jr., Esq., Thompson Coburn, LLP, St. Louis, Missouri. Ernest Paul Lukas, hereinafter referred

V Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Gloria Stanetti and Mark Seiko, as Trustees of the John W. Whitten Trust, Claimant v. Waterhouse Securities, Inc., Kennedy Cabot & Co., and Ross Steven Pearl, Respondents Case Number: 99-03607 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: For Respondents Kennedy Cabot & Co, and Ross Steven Pearl Philip M. Aidikoff, Esq. Rob

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-00108 Janney Montgomery Scott LLC Name of the Respondent Hearing Site: Boca Raton, Florida Andrew Aragona Nature of the Dispute: Member v. Associated Person. REPRESENTATION OF PARTIES For Janney Montgomery Scott LLC, hereinafter referred to as "Claimant": Carrie L. Chelko, Esq., Counsel for Janney Montgomery Scott, LLC, Philade

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 04-01141 Alan C. Maltz Janet L. Maltz Maltz Enterprises, L.P. Names of the Respondents Hearing Site: Boca Raton, Florida Padraig McBrien Scott Evan Zelnick Lehman Brothers, Inc. Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Alan C. Maltz ("A. Maltz"), Janet L. Maltz (

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Merrill Lynch, Pierce, Fenner& Smith Incorporated Advest, Inc. Name of the Respondent Samuel Bartoletta Case Number: 06-02511 Hearing Site: Boca Raton, Florida Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Merrill Lynch, Pierce, Fenner & Smith Incorporated ("Merrill") and Advest, Inc. ("Advest"), hereina

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Michael J. Bowling, Individually, Michael J. Bowling, as Custodian of his IRA Account, Vernon Collett, Individually, Vernon Collett, as Custodian of his IRA Account, Rita Collett, Individually, Rita Collett, as Custodian of her IRA Account, Vemon Collett, on Behalf of their Joint Account, Rita Collett, on Behalf of their Joint Account, Keisha L. Couch,

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Alejandro Silva Names of the Respondents Jose Miguel Zarhi Maria Luisa Tavares Ali Investments, Inc. Claremont Capital Nominees Limited Ernesto Hes Julio Hes Ana Noe Hes Planetary Investments, Inc. Ray Bridge Corporation Sergio Portugueis Sonia Waissbluth Blackfleet Limited, S.A. Shleprs Ltd. Vision Electron

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Joe Gates, Claimant v. Hornor, Townsend & Kent, Inc. and James D. Miller, Sr., Respondents Case Number: 06-02833 Hearing Site: Denver, Colorado Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Richard J. Edson, Esq. Law Offices of Richard J. Edson Sacramento, California For Respondent Hornor, Townsend & Kent, Inc.: L