Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant BB&T Investment Services, Inc. Name of Respondent Martin D. Hensley Case Number: 05-04380 Hearing Site: Charlotte, North Carolina Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For BB&T Investment Services, Inc., hereinafter referred to as "Claimant": John A. Burlingame, Esq., and Chaundra C. King, Esq. and Squire,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-00980 Richard H. Ett Names of the Respondents Hearing Site: Charleston, South Carolina Merrill Lynch, Pierce, Fenner & Smith Mary Kennemur Nathan Marsden Kathi McDermott Nature of the Dispute: Associated Person vs. Member and Associated Person. REPRESENTATION OF PARTIES For Richard H. Ett ("Ett"), hereinafter referred to as "Claim

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-04252 Robert McLeod Names of the Respondents Hearing Site: Tampa, Florida Wall Street Access, Inc. Deutsche Bank Securities, Inc. f/k/a Deutsche Bane Alex Brown, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Robert McLeod, hereinafter referred to as "Claimant": William Isenberg, Esq., Law Offices of Wi

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Benjamin B. Davis Family Trust, by Benjamin B. Davis, Jr., Trustee U/A dated 8/6/1998, Estate of Gene Hock, by Benjamin B. Davis, Jr. and Irwin M. Thrope, Esq., Co- Executors and Co-Trustees of the Gene Hock Trust under the Gene Hock Will, and Kay B. Davis (Claimants) vs. Merrill Lynch, Pierce, Fenner, and Smith, Inc. and Phua K. Young (Respondents) Case Number: 04-03693 Hearing Sit

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Garry Olson, Marc Irion II, Bryan Kilfoy, and James Martin (Claimants) vs. Timothy S. Breidor (Respondent) Case Number: 06-03307 Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Associated Persons vs. Customer REPRESENTATION OF PARTIES Claimants Garry Olson ("Olson"), Marc Irion II ("Irion"), Bryan Kilfoy "(Kilfoy"), and James Martin ("Martin") hereinafter collect

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Richard Cashin, individually and on behalf of Richard Cashin IRA, and David Weinberg, individually and on behalf of David Weinberg IRA (Claimants) vs. CIBC World Markets Corp. (Respondent) Case Number: 05-06344 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Member. REPRESENTATION OF PARTIES Richard Cashin, individually and on behalf of Richard C

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Steven Meyerowitz (Claimant) vs. Charles Schwab & Co., Inc., Walter F. Wisniewski,. and Paragon Capital Management Corp. (Respondents) Case Number: 05-02184 Hearing Site: New York. New York Elizabeth Drain (Claimant) vs. Charles Schwab & Co., Inc., Walter F. Wisniewski, and Paragon Capital Management Corp. (Respondents) Case Number: 05-02773 Hearing Site: New York, New York Suza

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Daniel F. Krawczyk (Claimant) vs. A.G. Edwards & Sons, Inc., Roger M. Stevenson, and Hyman Scheff, (Respondents) Case Number: 99-03579 Hearing Site: Buffalo, New York REPRESENTATION OF PARTIES Claimant, Daniel F. Krawczyk, hereinafter referred to as "Claimant", appeared pro se. Respondents, A.G. Edwards & Sons, Inc. ("Edwards"), Roger M. Stevenson ("Stevenson"), and Hyman

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-00172 Ryan Beck & Co., Inc. Name of the Respondent Hearing Site: Boca Raton, Florida Todd Newman Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Ryan Beck & Co., Inc., hereinafter referred to as "Claimant": Jonathan P. Cohen, Esq. and Joshua Pinsky, Esq., Stein, Rosenberg & Stein, P.A., Fort Lauderdale,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Betty Ekstein Names of the Respondents Vestpoint Securities, Inc. Nowtrade, Corp. Fiserv Securities, Inc. First Liberty Group, LLC First Liberty Financial, LLC First Liberty Life Settlements, LLC Retirement Accounts, Inc. Charles Keith Byington Paul Duffy Case Number: 05-02155 Hearing Site: Boca Raton, Florida Nature of the Di