Award NASD Dispute Resolution In the Matter of the Arbitration Between: Wachovia Securities Financial Network, LLC (Claimant) vs. Mark Goldberg (Respondent) Case Number: 06-01355 Hearing Site: New York, New York Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Wachovia Securities Financial Network, LLC, hereinafter referred to as "Claimant": David Ward, Esq., and Jennifer R. Seltenrich, Esq., Michaels & Ward, L

Award NASD Dispute Resolution In the Matter of the Arbitration Between: William and Elaine Walcott (Claimants) vs. WM Financial Services (Respondent) Case Number: 06-02131 Hearing Site: New York. NY Nature of the Dispute: Customers vs. Member. REPRESENTATION OF PARTIES Claimants William and Elaine Walcott ("Walcott") hereinafter referred to as "Claimants" appeared pro se. Respondent WM Financial Services hereinafter referred to as "Respondent": Walt

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Case # 02-06967 Steven Maass (Claimant) vs. Tradescape Corp., Momentum Securities, LLC., James H. Lee, Sharif M. Amanat, and Omar S. Amanat (Respondents) consolidated with Case #03-01763 Steven Maass (Claimant) vs. ETrade Professional Trading, LLC (Respondent) Case Number: 02-06967 Hearing Site: New York, New York (consolidated with 03-01763) Nature of the Dispute 02

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Timber Hill LLC (Claimant) vs. Merrill Lynch Professional Clearing Corporation (Respondent) Case Number: 06-01434 Hearing Site: New York. New York Nature of the Dispute: Member vs. Member. REPRESENTATION OF PARTIES Claimant Timber Hill LLC, hereinafter referred to as "Claimant": H. Peter Haveles, Jr., Esq., Arnold & Porter, LLP, New York, NY. Respondent Merrill Lynch Professiona

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Valeri V. Kamensky and Natalia Kamensky (Claimants) vs. Matthew D. Mickey and Multi-Financial Securities Corporation (Respondents) Case Number: 05-05774 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Associated Person and Member. REPRESENTATION OF PARTIES Claimants Valeri V. Kamensky ("V. Kamensky") and Natalia Kamensky ("N. Kamensky"), hereinafter collect

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Thomas Ruggiero and Carl J. Labruna (Claimants) vs. HSBC Brokerage (USA) Inc., HSBC Securities (USA), Inc., HSBC Bank USA, Gregory H. Webster, David Kotheimer, John Grasso, and Randy Ambrosie (Respondents) Case Number: 05-04279 Hearing Site: New York, New York Nature of the Dispute: Associated Persons vs. Members, Non-Members and Associated Person. REPRESENTATION OF PARTIES

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Glen Cherveny and Axelrod & Cherveny AIA PC Money Purchase Plan FBO Glen Cherveny (Claimants) vs. Vanguard Capital (Respondent) Case Number: 05-06560 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Member REPRESENTATION OF PARTIES Claimants Glen Cherveny ("G. Cherveny") and Axelrod & Cherveny AIA PC Money Purchase Plan FBO Glen Cherveny ("Cherveny Beneficia

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-01178 Dewey Harold Brazelton Name of the Respondent Hearing Site: Birmingham, Alabama Edward Jones & Company, LP Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Dewey Harold Brazelton, hereinafter referred to as "Claimant": Stuart M. Maples, Esq., Johnston, Moore, Maples & Thompson, Huntsville, Alabama. For E

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between; R.W. Stout and Investamerica Services Corporation (Claimants) vs. CDH Capital Corporation and CDH Affiliates, Inc.'(Respondents). Case Number: 99-03520 Hearing Site: Dallas, Texas REPRESENTATION OF PARTIES Claimants, R.W. Stout and Investamerica Services Corporation, ("Claimants"): Kimberly Shauck, Esq.: Secore and Waller, Inc., Dallas, Texas. Respondents, CDH Capital Corp

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 06-02360 Daniel Rebibo Daniel Rebibo and Rina Rebibo, JTWROS Name of the Respondent Hearing Site: Washington, D.C. Charles Schwab & Co., Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Daniel Rebibo and Daniel Rebibo and Rina Rebibo, JTWROS, hereinafter collectively referred to as "Claimants": Debra G. Sp