NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 06-00888 Oppenheimer & Co., Inc., (Claimant) vs. Timothy A. Liebowitz, (Respondent) ATTORNEYS: For Claimant appeared in-house counsel Noah Sorkin, Esq., New York, NY. Respondent did not submit an Answer to the Statement of Claim. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: February 21, 2006 CASE SUMMARY: Claimant alleged that Respondent breached a contract by failing to r

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Thomas Giardino as Trustee for Mr. Bargain II Auto Parts Inc. Profit Sharing Plan, Thomas Giardino Mr. Bargain Auto Parts Inc., Thomas and Karen Giardino JT. Ten., Thomas Giardino IRA Rollover, Karen Giardino IRA Rollover, Thomas Giardino as Custodian for Gregory Giardino, Thomas Giardino as Custodian for Jameson Giardino, Thomas Giardino as Custodian for Sharon Giardino, and Thomas Gia

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Lake Company LLC and Riverview Company LLC (Claimants) vs. James J. Mclaughlin and Mclaughlin, Piven, Vogel Securities, Inc. (Respondents) vs. Dennis Kalick (Third- Party Respondent) Case Number: 03-00537 Hearing Site: New York, New York Nature of the Dispute: Initial Claim: Customers vs. Member and Associated Person Third-Party Claim: Member and Associated Person vs. Associated

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Wachovia Securities, LLC vs. Case Number: 06-01891 Hearing Site: St. Louis, Missouri Name of Respondent Patrick Joseph Doyle NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES Wachovia Securities, LLC ("Claimant") was represented by David L. Ward, Esq., Michaels & Ward, LLP, Boston, Massachusetts. Patrick Joseph Doyl

Award NASD Dispute Resolution. Inc. In the Matter of the Arbitration Between: Jay R. Rice, Claimant v. The First American Investment Banking Corporation, Tommy B. Lane, and Russell E. Osborn, Respondents Case Number: 99-03534 Hearing Site: N/A REPRESENTATION OF PARTIES For Claimant: Randall R. Heiner. Esq. Salt Lake City, Utah For Respondents: Stanley J, Preston. Esq. Snow, Christensen & Martineau Salt Lake City, Utah CASE INFORMATION

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Anil Gupta vs. Case Number: 05-05517 Hearing Site: St. Louis, Missouri Names of Respondents Morgan Stanley DW, Inc., Ronald Joseph Chomuik, and Christopher Allen Shadowens NATURE OF THE DISPUTE Customer vs. Member and Associated Persons REPRESENTATION OF PARTIES Anil Gupta ("Claimant") was represented by Preeti Nita Gupta, Esq., Columbia, Ill

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Pricaspian Development Corporation, Jack J. and Celeste C. Grynberg, Rachel S. Grynberg Trust, Stephen M. Grynberg Trust, and Miriam Z. Grynberg Trust vs. Case Number: 05-03064 Hearing Site: Chicago, Illinois Names of Respondents Goldman, Sachs & Co., Richard A. Weisberg, William G. Lewin, Joshua P. Newsome, Michael S. Cohen, Renee M. Dalto

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 05-06045 John Anthony Orlando Names of the Respondents Hearing Site: Boca Raton, Florida Salomon Grey Financial Corp. Kyle Browning Rowe Steven Allan Rothstein Carl Thomas Chaleff Gary Barket Nature of the Dispute: Associated Person vs. Member and Associated Person. REPRESENTATION OF PARTIES For John Anthony Orlando, hereinafter

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Shirley Bogenberger, Claimant v. Grant Bettingen, Inc., Grant Bettingen, and George J. Abrahamsen, Respondents Case Number: 06-03169 Hearing Site: Los Angeles. California Nature of the Dispute: Customer v. Member and Associated Persons REPRESENTATION OF PARTIES For Claimant: Jack Utter, Esq. Law Offices of Jack Utter Irvine, California For Respondents Grant Bettingen, In

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Bttvcen ) ) WILLIAM LIPSITZ, ) Claimant, ) ) Cast 189-02350 vs. ) Final Order ) NEWHARD, COOK & CO., ) Respondent. ) Heard before the Arbitrator: Guthrie Crowe CASE SUMMARY This claim was filed with the NASD.. Inc. on August 21. 1989. The hearing was conducted in Fort Lauderdale, Florida on May 17, 1990, with a total of one session. Claimant. Wi