Award NASD Dispute Resolution In the Matter of the Arbitration Between: Karen S. Dyer, Claimant v. Morgan Stanley DW Inc., Respondent Case Number: 06-01301 Hearing Site: Las Vegas, Nevada Nature of the Dispute: Customer v. Member REPRESENTATION OF PARTIES For Claimant: Bruce D. Oakes, Esq. Simmons Cooper LLC East Alton, Illinois For Respondent: Aaron L. Danzer, Esq. Morgan Stanley DW Inc. Chicago, Illinois CASE INFORMATION Statem

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Bassiony Rhima, (Claimant) vs. Donnelly & Co., L.L.C. (Respondent). Case Number: 99*03363 Hearing Site: Dallas, Texas REPRESENTATION OF PARTIES Claimant, Bassiony Rhima ("Claimant"): Stephen R. Marsh, Esq., The Zissman Law Firm, Dallas, TX. Respondent, Donnelly & Co., L.L.C. ("Respondent): Wayne M. Secore, Esq. and Kim Shauck, Esq., Secore & Waller, L.L.P., Dallas, Texas. CASE

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Jeffrey Cohen Names of the Respondents Sterling Financial Investment Group, Inc. Alexis Korybut Case Number: 06-00343 Hearing Site: Boca Raton, Florida Nature of the Dispute: Associated Person vs. Member and Associated Person. REPRESENTATION OF PARTIES For Jeffrey Cohen, hereinafter referred to as "Claimant": Delmer C. Cowing, III, Esq., Law Offi

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-01776 First Montauk Securities Corp. Name of the Respondent Hearing Site: Orlando, Florida Manuel Larenas Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For First Montauk Securities Corp., hereinafter referred to as "Claimant": Joel Levinson, Esq., Assistant General Counsel, First Montauk Securities, Inc.,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-01493 Merrill Lynch, Pierce, Fenner & Smith, Inc. Name of Respondent Hearing Site: Boca Raton, Florida James Alan Burnette Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Merrill Lynch, Pierce, Fenner & Smith, Inc. ("MLPFS"), hereinafter referred to as "Claimant": James P. McLaughlin, Esq., Rubin Fortuna

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-03437 Annie Stewart Names of the Respondents Hearing Site: Raleigh, North Carolina Bane of America Investment Services, Inc. John Stanley Meroney, Sr. Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Annie Stewart, hereinafter referred to as "Claimant": George Francisco, Esq., George Francisc

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Case Number: 05-04971 Ana Maria Calcagno Names of Respondents Hearing Site: Boca Raton, Florida Juan Carlos Costas Merrill Lynch, Pierce, Fenner & Smith, Incorporated Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Ana Maria Calcagno ("Calcagno"), hereinafter referred to as "Claimant": Frank P. Cuneo, Esq.,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Kathleen Chen, Claimant v. Morgan Stanley DW Inc., Henry Auwinger and Dennis Peterson, Respondents Morgan Stanley DW Inc., Henry Auwinger and Dennis Peterson, Third-Party Claimants v. Kumar Singh, Third-Party Respondent Case Number: 97-01738 Hearing Site: San Francisco. California Nature of the Disputes: Customer v. Member and Associated Persons Member and Associated Persons v.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: William N. DiDonato and William A. DiDonato (Claimants) v. Katie House/Bader, Dirks and Company, Inc., Jessy L. Dirks, and Security Capital Trading, Inc. (Respondents) Case Number: 03-03035 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Members and Associated Persons. REPRESENTATION OF PARTIES Claimants William N. DiDonato ("N. DiDonato") and William A. Di

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Mark Ostrowsky (Claimant) vs. First Hudson Financial Group, Inc., Izaill Ezekiel Fields and Luis Gabriel MacDonna (Respondents) Case Number: 05-00785 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant Mark Ostrowsky, hereinafter referred to as "Claimant": Bradford M. Gucciardo, Esq., Scarlett & G