AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Douglas McMahan vs. Case Number: 05-06174 Hearing Site: Dallas, Texas Name of Respondent Citigroup Global Markets, Inc. NATURE OF THE DISPUTE Customer vs. Member REPRESENTATION OF PARTIES Douglas McMahan ("Claimant") was represented by Tricia L. Legittino, Esq., Simmons Cooper, LLC, East Alton, Illinois. Citigroup Global Markets, Inc. ("Respo

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Francis S. Happe vs. Name of Respondent A.G. Edwards & Sons, Inc. and Charles Trankler Case Number: 05-05847 Hearing Site: St. Louis, Missouri NATURE OF THE DISPUTE Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Francis S. Happe ("Claimant") was represented by Bruce D. Oakes, Esq., Oakes & Fosher, LLC, St.

Award NASD Dispute Resolution, inc. In the Matter of the Arbitration Between: Jimmy L. Shawver and Eveila J. Shawver, individually and as Trustees of the Jimmy L. Shawver and Eveila J. Shawver Revocable Trust Dated 12/5/94 Claimants v. Sigma Financial Corporation, Michael J. Brooks, Jerome S. Rydell, Genesis Financial Services Corporation, Robert W. Fergan, and Leann Fergan, and Respondents Case Number: 99-3362 Hearing Site: Southfield, Michigan

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-03215 Wachovia Securities, LLC Name of the Respondent Hearing Site: Boca Raton, Florida Jared Evan Fink Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Wachovia Securities, LLC, hereinafter referred to as "Claimant": Jonathan E. Levine, Esq., Law Office of Daniel S. Fiore, LLP, Arlington, Virginia. R

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants Carolyn J. Newkirk, Individually, John B. Newkirk, Individually, and John J. Newkirk, Individually, and as Trustee of the JBN Charitable Lead Annuity Trusts Nos. 1,2,3, and 4 and as Trustee of the Newkirk 1995 Irrevocable Life Insurance Trust v. 02-07121 Denver, Colorado Respondents UBS PaineWebber, Inc., Bruce L. Fleet and John Lester Nature

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Edward Bartolett and Jean Bartolett (Claimants) v. Merrill Lynch, Pierce, Fenner & Smith Incorporated and Saul Herbst (Respondents) Case Number: 03-01653 Hearing Site: New York, NY Nature of Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES Claimants Edward Bartolett ("E. Bartolett") and Jean Bartolett ("J. Bartolett") hereinafter collective

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Kevin S. Flannery, (Claimant) vs. Solid ISG Capital Markets, LLC and Solid Capital U.S., (Respondents) Case Number: 00-03633 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Kevin S. Flannery, hereinafter referred to as "Claimant", appeared pro se. Respondent, Solid ISO Capital Markets, LLC ("Solid ISG"): Louis F. Burke, Esq., Louis I. Burke, P.C., New

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Stephen L. Schloss, Barbara Schloss, Jeffrey Schloss, Michael Schloss, Richard Schloss and Robin L. Cohen, (Claimants) v. Salomon Smith Barney Inc. and David Trautenberg, (Respondents) Case Number: 00-05429 Hearing Site: New York. New York BEERESENTAT1ON OF PARTIES Claimants Stephen L. Schloss, Barbara Schloss, Jeffrey Schloss, Michael Schloss, Richard Schloss a

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Deolinda Fernanadez (Claimant) v. Edward Sadowski, Multi-Financial Securities Corp., and Royal Alliance Associates, Inc. (Respondents) Case Number: 01 -04295 Hearing Site: New York, New York Nature of the Dispute: Customer v. Members and Associated Person REPRESENTATION OF PARTIES Claimant Deolinda Fernandez ("Fernandez") hereinafter referred to as "Claimant": Richard D. DeVita,

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Steven A. Kushner and Rebecca Kushner vs. Names of Respondents Prudential Equity Group, LLC, Wachovia Securities, LLC, and Marvin G. Zucker Case Number: 05-06322 Hearing Site: Southfield, Michigan NATURE OF THE DISPUTE Customers vs. Members and Associated Person REPRESENTATION OF PARTIES Steven A. Kushner and Rebecca Kushner ("Claimants