NATIONAL ASSOCIATION OF SECURITIES DEALERS f INC. ) In the Matter of the Arbitration Between ) ) Torger and Ruth Silnes Claimants ) ) AWARD vs. ) ) NASD NO. 89-03413 Shearson Lehman Hutton, Inc. ) and Kenneth M. Maring Respondents ) SUMMARY OF ISSUES This case was filed with the National Association of Securities Dealers, Inc. ("NASD") on December 5, 1989. Claimants alleged that in October 1988 Respondents made three sepa

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-00287 Wachovia Securities, LLC Name of the Respondent Hearing Site: Orlando, FL Frank Andrea Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES (t For Wachovia Securities, LLC ("Wachovia"), hereinafter referred to as "Claimant": Jonathan E. Levine, Esq., Law Office of Daniel S. Fiore, Arlington, VA. For

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 05-04807 Andrew Garrett, Inc. Name of Respondent Hearing Site: Columbia, South Carolina David G. Loveland Third Party Respondent Andrew Garrett Sycoff Nature of the Dispute: Member vs. Associated Person vs. Member and Associated Person. REPRESENTATION OF PARTIES For Andrew Garrett, Inc. ("AGI"), hereinafter referred to as "Claimant"

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Stephen L. Baum vs. Case Number: 06-00420 Hearing Site: Chicago, Illinois Names of Respondents Citigroup Global Markets, Inc. and Richard B. Bermont NATURE OF THE DISPUTE Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Stephen L. Baum ("Claimant") was represented by Stephen L. Baum, Esq., Law Offices of Stephen L. Baum, Lt

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants James Walder and Walder Vacuflow, Inc. vs. Case Number: 04-03435 Hearing Site: Chicago, Illinois Names of Respondents Sean F. Mescall, Robert J. Cuillo, Anthony Peter Muratore, Glenn Michael Financial, Inc., Francine Ann Lanaia, Glenn Michael Lanaia, John Edward Merkent, and Albert Ziade NATURE OF THE DISPUTE Customers vs. Terminated Member and

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant/Counter-Respondent Steven A. Rothstein vs. Case Number: 05-02287 Hearing Site: Chicago, Illinois Names of Respondents/Counter-Claimants Olympic Cascade Financial Corporation, operating through National Securities Corporation, an NASD Member Firm, its wholly owned subsidiary Consolidated with Name of Claimant Steven A. Rothstein vs. Case Numbe

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 Robert A. Slavin Case Number: 06-03262 Hearing Site: St. Louis, Missouri NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES Bane of America Investment Services, Inc. ("Bane of America" or "Claimant") was represented by Diane C. Fischer, Esq.,

Award FASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Names of Claimants Ronald W. and Frances Metca and as participants of Ronald Profit Sharing Retirement Accoimt Names of Respondents John R. Taylor Financial Grou John Robert Taylor Dane Dulaney Fulmer REPRESENTATION OF PARTIES For Claimants: Ronald W. Met LLP, Little Rock, AR, appeardd For Respondents: Kevin A. Cr Clark, Little Rock, AR. Statemen

Award NASD Dispute Resolution In the Matter of the Arbitration Between: John Rathgeb (Claimant) vs. Joseph Stevens & Co., Inc., Steven Fisher, Anthony DeBenedictis and Ronald Goldfine (Respondents) Case Number: 06-01335 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant John Rathgeb hereinafter referred to as "Claimant": Jenice L. Malecki, Esq., Malecki Law, New York

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Doris M. Pitera, individually, as Trustee of the William W. Pitera Trust, as Trustee of the Doris M. Pitera Trust, and as Administrator of the Estate of William W. Pitera (Claimants) vs. Oppenheimer & Co., Inc., and Stephen J. Toussaint (Respondents) Case Number: 05-04382 Hearing Site: Providence, Rhode Island Nature of the Dispute: Customer vs. Member and Associate Person. REPRESEN