AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant/Counter-Respondent Troy C. Patton vs. Name of Respondent/Counter-Claimant Fiducial Investment Advisors, Inc. Case Number. 06-01843 Hearing Site: Indianapolis, Indiana NATURE OF TH^ DISPUTE Associated Person vs. Member REPRESENTATION OF PARTIES Troy C. Patton ("Patton" or "Claimant") was represented by Andrew P. Berry, Esq., Goodin Orzeske & B

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Abigail O'Connell, Claimant v. MAN Securities Inc., Terry Lee Kretz, Hanover Corporation, LLC, Respondents Case Number: 06-01943 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member, Associated Person, and non-Member REPRESENTATION OF PARTIES For Claimant Abigail O'Connell: For Respondent MAN Securities Inc.: For Respondent Terry Lee Kretz:

Award NASD Dispute Resolution In the Matter of the Arbitration Between: First Wall Street Corp., Claimant v. Darrell T. Reed, Respondent Case Number: 06-03707 Hearing Site: San Diego, California Nature of the Dispute: Member v. Associated Person REPRESENTATION OF PARTIES For Claimant: Arthur S. Lieder Investors Arbitration Specialists San Diego, California For Respondent: Darrell T. Reed Salt Lake City, Utah CASE INFORMATION Statemen

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Andrew M. Sadosky (Claimant) vs. Brean Murray & Co., Inc. (Respondent) Case Number: 99-03549 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Andrew M. Sadosky, hereinafter referred to as "Claimant": David B. Wechsler,, Esq. Wechsler Bursky & Cohen, LLP, New York, New York. Respondent, Brean Murray & Co., Inc., hereinafter referred to as "Respondent": Douglas P.

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Robert G. and Sheila A. Kelly and Automated Information Management, Inc. and 00-01133 Scottsdale, Arizona Name of Respondents Wells Fargo Securities, Inc. Wells Fargo Bank, N.A. REPRESENTATION OF PARTIES Robert G. and Sheila A. Kelly and Automated Information Management, Inc. ("Claimants") \yefe>i V ;ii:t A K represented by Gary L. L

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Morgan Stanley DW, Inc. (Claimant) vs. Anthony P. Catalano (Respondent) Case Number: 05-04842 Hearing Site: New York, New York Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant Morgan Stanley DW, Inc. hereinafter referred to as "Claimant": Ronald P. Kane, Esq., Diane C. Fischer, Esq., and Thomas A. Volz, Esq., Kane & Fischer, Ltd.,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Gene McNamara (Claimant) vs. Joseph Stevens & Co., Inc. (Respondent) Case Number: 05-02673 Hearing Site: Hartford, Connecticut Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Gene McNamara hereinafter referred to as "Claimant": William J. Wenzel, Esq., Pullman & Comley, LLC, Bridgeport, CT. Respondent Joseph Stevens & Co., Inc. ("Joseph Stevens") h

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Adrianne Iris Landau (Claimant) vs. RBC Dain Rauscher, Inc. and Laura Hyman (Respondents) Case Number: 05-02393 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant Adrianne Iris Landau hereinafter referred to as "Claimant": Richard M. Mortner, Esq., The Mortner Law Office, P.C., New York,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Laurence and Patricia Taylor (Claimants) vs. Pershing LLC, Correspondent Services Corp. and Todd M. Eberhard (Respondents) Case Number: 06-00914 Hearing Site: New York. New York Nature of the Dispute: Customer vs. Members and Associated Person REPRESENTATION OF PARTIES Claimants Laurence Taylor ("L. Taylor") and Patricia Taylor ("P. Taylor") hereinafter collectively referred to

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