Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-02773 Dawson James Securities, Inc. Names of the Respondents Hearing Site: Boca Raton, Florida John D. Bergin Thomas J. Heaphy, Jr. Anthony A. Rossi Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Dawson James Securities, Inc., hereinafter referred to as "Claimant": Delmer C. Cowing, III, Esq., L

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Williams Family Trust UAD 3/31/77 and The Williams Wife's Trust UAD 3/31/77, Claimants v. Piper Jaffray & Co. and Walter J. Clarke, Respondents Case Number: 05-06511 Hearing Site: Phoenix, Arizona Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES For Claimants: Jon Titus, Esq. Titus, Brueckner & Berry Scottsdale, Arizona For Respo

Award NASD Dispute Resolution In the Matter of the Arbitration Between: UBS International, Inc., Claimant v. Antonio Maximiliano Duarte, Respondent Case Number: 06-00985 Hearing Site: Los Angeles, California Nature of the Dispute: Member v. Associated Person REPRESENTATION OF PARTIES For Claimant: Sandra Grannum, Esq. Brent A. Burns, Esq. Davidson & Grannum, LLP Orangeburg, New York William M. Montgomery, Esq. UBS Financial Services, Inc

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Robert R. Wahler, Trustee for The Wahler Family Trust, Able LLC, and Westfore LTD, Claimants v. Goldman, Sachs & Co., Respondent Case Number: 06-00113 Hearing Site: Los Angeles, California Nature of the Dispute: Customers v. Member REPRESENTATION OF PARTIES For Claimants Robert R. Wahler, Trustee for The Wahler Family Trust, Able LLC, and Westfore LTD (hereinafter collec

Award NASD Dispute Resolution. Inc. In the Matter of the Arbitration Between: Gregory P. Jourdan, Claimant v. Citicorp Investment Services, Inc., Respondent Case Number: 00-03346 Hearing Site: San Francisco, California REPRESENTATION OF PARTIES For Claimant: C. Mac McBride. Esq. Law Offices of C. Mac McBnde Vallejo, California For Respondent: Nancy Pritikin, Esq. Littler Mendelson, A Professional Corporation San Francisco, California CAS

Award NASD Dispute Resolution In the Matter of the Arbitration Between: pfrVif Plflimnnt f l fn»»Niim>yr- 00-03 1 52 William H. Moravek P f *- g p n pfor*' H f>ar ?n£ iSiTf Washington, D.C Merrill Lynch Pierce Fenner & Smith Inc Claimant, William H. Moravek ("Movavek"), hereinafter referred to as ''Claimant": Timothy B. Hyland, Esq., Leffler & Hyland, Fairfax, Virginia. Respondent, Merrill Lynch Pierce Fenner

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Alfred A. Gilbert Case No. 00-03201 Alex Osterneck Hearing Site- Philadelphia, PA OF PARTTFS Claimant, Alfred A. Gilbert ("Gilbert"), hereinafter referred to as "Claimant" represented himself at the hearing. Respondent, Alexander Osterneck ("Osterneck"), hereinafter referred to as "Respondent" did not appear at the hearing. Statement of Claim filed on: July 27,

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: First Albany Corporation, (Claimant) vs. Peter Shaughnessy, (Respondent) Case Number: 00-03239 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, First Albany Corporation, hereinafter referred to as "Claimant": Brian F. Mumford, Esq., Harvey and Mumford, Albany, NY. Respondent, Peter Shaughnessy, hereinafter referred to as "Respondent", did not appear at

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Names of Claimants George G. and Shirley Parella Case No. 00-03301 Hearing Site: Boca Raton, Florida Names of Respondents Kirlin Securities, Inc. Matthew Laurence Zimmerman REPRESENTATION OF PARTIES For George G. and Shirley Parella ("Parella") hereinafter collectively referred to as "Claimants": Frank J. Stanley, HI, Stanley, Powers & Matyola, Bridgewater, New

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Abraham Meisner, (Claimant) vs. Barren Chase Securities, Inc., Michael Weiss, Jacob Feder, and WF Capital, (Respondents) Case Number: 99-03374 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Abraham Meisner, hereinafter referred to as "Claimant": Gerald P. Gross, Esq., Law Offices of Gerald P. Gross, New York, NY. Claimant originally appeared pro se. R