Award NASD Dispute Resolution In the Matter of the Arbitration Between: Fred G. Andrew (Claimant) vs. Cuna Brokerage Services, Inc., and Emmor E. Boslet (Respondents) Case Number: 06-03376 Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Fred G. Cuna, hereinafter referred to as "Claimant": Rob Bleecher, Esq., Pecht & Associates, PC, Mechanicsburg, PA. Re

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Charles B. Schaffran (Claimant) vs. Alliance Capital Management LP, Alliance Capital Management Corp., AllianceBernstein Investment Research and Management, Inc., and Lewis Sanders (Respondents) Case Number: 04-06498 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Non-Members, Member, and Associated Person. REPRESENTATION OF PARTIES Claimant Cha

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Hampden Securities, LTD (Claimant) v. Charles Schwab & Co., Inc. (Respondent) Case Number: 06-00708 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Hampden Securities, LTD, hereinafter referred to as "Claimant": Irwin Stein, Law Office of Timothy A. Canning, Novato, CA. Respondent Charles Schwab & Co., Inc., hereina

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Charles Schwab & Co., Inc., Claimant v. Andy Nguyen and Cam-Chau T. Pham, Respondents Case Number: 06-02854 Hearing Site: Los Angeles, California Nature of the Dispute: Member v. Customers REPRESENTATION OF PARTIES For Claimant: Brandon K. Hemley, Esq. Charles Schwab & Co., Inc. San Francisco, California For Respondents: No appearance CASE INFORMATION Statement o

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Jeffrey Topham vs. Name of Respondent T.D. Waterhouse Investment Services, Inc. Case Number: 05-05351 Hearing Site: Des Moines, Iowa NATURE OF THE DISPUTE Customer vs. Member REPRESENTATION OF PARTIES Jeffrey Topham ("Claimant") was represented by Gail E. Boliver, Esq., Boliver Law Firm, Marshalltown, Iowa. T.D. Waterhouse Investment Serv

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Charles L. Gratz vs. Case Number: 06-01996 Hearing Site: Troy, Michigan Name of Respondent Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. NATURE OF THE DISPUTE Associated Person vs. Member REPRESENTATION OF PARTIES Charles L. Gratz ("Claimant") appeared in pro per. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, In

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Lisa K. Rothmeyer vs. Case Number: 04-01089 Hearing Site: Chicago, Illinois Name of Respondents Edward L. Sensor, The Sensor Group, and Linsco/Private Ledger Corp. and Name of Cross-Claimant Linsco/Private Ledger Corp. vs. Name of Cross-Respondent Edward L. Sensor NATURE OF THE DISPUTE Customer v. Associated Person, Member, and Non

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 99-03570 Vesselin Dittrich, claimant vs. Investex Inc. and Frank Somma, respondents. ATTORNEYS: Claimant appeared Pro Se., Hoboken, NJ. For respondents appeared Frank Somma, individually, and on behalf of Investex Inc., New York, NY. DATE FILED: August 4, 1999 CASE SUMMARY: Claimant alleged that respondent refused to ACAT transfer $50.00 to his SEP-IRA account with Ameritrade.

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE:00-OU39 Lona M. Horton, Claimant vs. Emmett A. Johnson and William J. Molfetto, Respondents. ATTORNEYS: Claimant appeared through her Power of Attorney, Linda J. Horton, Austin, TX. Respondents appeared through in-house counsel for Prudential Securities, Inc., Darleen Monaco, Esq., New York, NY. DATE FILED: March 15, 2000 CASE SUMMARY: Claimant alleged that respondent Emmett A. Johnson

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 06-02953 Theresa M. Baron, IRA, (Claimant) vs. First Union Securities, Inc. n/k/a Wachovia Securities, LLC, (Respondent) ATTORNEYS: For Claimant appeared Jane K. Conrad, Esq., Hermann Cahn & Schneider, LLP, Cleveland, OH. For Respondent appeared in-house counsel Ryan P. Smith, Esq., Richmond, VA. NATURE OF DISPUTE: Customer vs. Member DATE FILED: June 19, 2006 CASE SUMMARY: Claimant