NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 06-03825 Annette Bazzicalupo (Claimant) v. A.G. Edwards & Sons, Inc., and Paul Shipkoskie (Respondents) ATTORNEYS: For Claimant Annette Bazzicalupo ("Claimant") appeared Jill Gross, John Jay Legal Services, Inc., White Plains, NY. For Respondents A.G. Edwards & Sons, Inc., and Paul Shipkoskie ("Respondents") appeared Nancy Anderson Tayborn, Esq., St. Louis, MO. NATURE OF DISPUTE: Custom

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Case # 05-04470 Harbert Distressed Investment Master Fund, LTD. (Claimant) vs. Stone & Youngberg LLC (Respondent) Stone & Youngberg LLC (Respondent) vs. Garban LLC (Third-Party Respondent) ICAP Corporates LLC formerly known as Garban Corporates LLC (Third-Party Respondent) vs. Barclays Capital Inc./Barclays Bank PLC, London Branch, RBC Dain Rauscher Inc., Miller Tabak & Company,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Gary Peters and Brenda Peters, Claimants v. UBS Securities LLC and Knight Capital Markets, LLC, Respondents Case Number: 06-03528 Hearing Site: Phoenix, Arizona Nature of the Dispute: Customers v. Members REPRESENTATION OF PARTIES For Claimants: Gary & Brenda Peters ProSe Peoria, Arizona For Respondent Knight Capital Markets LLC: Kenneth W. Gerver, Esq. Knight Equity

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Robert and Arlette Kramer, Claimants v. Raymond James Financial Services, Inc. and Joe R. Woods, II, Respondents Case Number: 06-00236 Hearing Site: San Diego, California Nature of the Dispute: Customers vs. Member and Associated Person REPRESENTATION OF PARTIES For Claimants: Matthew R. Miller Dreher Law Firm San Diego, California For Respondents: Joseph L. Larrinaga

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-04757 Bane of America Investment Services, Inc. Name of the Respondent Hearing Site: Nashville, Tennessee Kerry Dee Gant Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Bane of America Investment Services, Inc., hereinafter referred to as "Claimant": Deborah A. Mark, Esq., Kane & Fischer, Chicago, Illino

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Cyril Waynik Loraine Waynik Name of the Respondent Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. Case Number: 05-04348 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Cyril Waynik ("C. Waynik") and Loraine Waynik ("L. Waynik"), hereinafter collectively referred to

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Dan Hewitt v. Datek Online Brokerage Services, Corp. v. Bryan Klein Case No. 99-03580 Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For Claimant: Randall Henley, Esq., West Palm Beach, Florida. For Respondent Datek Online Brokerage Services, Corp. ("Datek"): G. Thomas Fleming III and Brian G. Mulherin of Jones, Bell, Abbott, Fleming & Fitzgeral

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-03324 Helene A. Guarino Names of the Respondents Hearing Site: Washington, D.C. Wachovia Securities, LLC Thomas Haselhorst Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATiON OF PARTIES Helene A. Guarino, hereinafter referred to as "Claimant", appeared pro se. For Wachovia Securities, LLC ("Wachovia") and

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 05-04816 Douglas M. Lawson Names of the Respondents Hearing Site: Orlando, Florida Legacy Financial Services, Inc. Joseph R. Karsner, IV Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Douglas M. Lawson, hereinafter referred to as "Claimant": Debra G. Speyer, Esq., Philadelphia,

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-04309 Wachovia Securities, L.L.C. Name of the Respondent Hearing Site: Richmond, VA Wendy Rickenbach Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Wachovia Securities, L.L.C. ("Wachovia"), hereinafter referred to as "Claimant": Warren David Harless, Esq., Christian & Barton, L.L.P., Richmond