N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS PUBLIC In the Matter of the Arbitration Between Name of Claimant(s) Henry & Linda Davidson 92-00211 Name of Resrjondent(s) Silver. Gray & Co.. Inc. Fredric Gray Gerry Gray Robert Kahan Richard Gray REPRESENTATION For Claimants Henry and Linda Davidson: Douglas Capuder. Esq. of the law firm of Capuder & Associates. P.C. For Respondents Silver. Gray & Co., Inc.. Fred

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 06-03120 Ashok K. Sabhlok, (Claimant) vs. Merrill Lynch, Pierce, Fenner & Smith, Inc., Frankie Laine Ross and James Joseph Dyer, (Respondents) ATTORNEYS: Claimant appeared pro se, Berkeley, CA. For Respondents appeared in-house counsel H. Kyeng Lee, Esq., New York, NY. NATURE OF DISPUTE: Customer v. Member and Associated Persons DATE FILED: June 26, 2006 CASE SUMMARY: Claimant alleged t

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Susan Schneider (Claimant) vs. Fidelity Brokerage Services, Inc. (Respondent) Case Number; 05-05200 Hearing Site: Boston, Massachusetts Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Susan Schneider hereinafter referred to as "Claimant": Kevin G. Diamond, Esq., Shea & Diamond LLP, Holliston, MA. Respondent Fidelity Brokerage Services, Inc, hereina

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Alice E. Campbell Estate (Claimant) vs. B.C. Parker & Co., Inc. and John J. Winkelman (Respondents) Case Number: 05-05163 Hearing Site: Buffalo, New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Alice E. Campbell Estate, hereinafter referred to as "Claimant": Robert A. Dean, Esq., The Dean Law Firm P.C., Grand Island, N

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 06-03422 Michael E. and Grace C. NG- Hogan, (Claimants) vs. B. Chen, M. Hepworth, Tim Ratty & Alexander Torso, Jr., (Respondents) ATTORNEYS: Claimants appeared pro se, TWP of Washington, NJ. For Respondents appeared Citigroup Global Markets, Inc.'s in-house counsel Rebecca J. Nelson, Esq., New York, NY. NATURE OF DISPUTE: Customers v. Member and Associated Persons DATE FILED: July 19, 2

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Susan Nast (Claimant) v. Walnut Street Securities, Inc., Nathan & Lewis Securities, Inc. and Laurence Braunstein (Respondents) Case Number: 04-07353 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Members and Associated Person. REPRESENTATION OF PARTIES Claimant Susan Nast hereinafter referred to as "Claimant": Ross B. Intelisano, Esq., Rich Intel

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Alfred DiRico (Claimant) vs. Ellen Davidson and Bane of America Investment Services, Inc. (Respondents) Case Number: 05-02485 Hearing Site: Boston, Massachusetts Nature of the Dispute: Customer vs. Associated Person and Member REPRESENTATION OF PARTIES Claimant Alfred DiRico hereinafter referred to as "Claimant": Jonathan Braverman, Esq., Baker, Braverman & Barbadoro, P.C., Brai

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 99-03048 Jeffrey Daniel Herbst, Claimant vs. Tuschner & Company, Inc., Respondent. ATTORNEYS: Claimant, Jeffrey Daniel Herbst, ("Claimant"), appeared Pro Se., Rio De Janeiro, Brazil Respondent, Tuschner & Company, Inc. ("Respondent"), did not respond to the Statement of Claim. DATE FILED: July 6, 1999 ^^ ~ CASE SUMMARY: Claimant alleged that Respondent business practices were unethica

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Veravest Investments, Inc., First Allamerica Financial Life Insurance Company, and Allmerica Financial Insurance and Annuity Company (Claimants) v. Louis G. Pelletier and Frank Germano (Respondents) Case Number: 03-06597 Hearing Site: Boston, Massachusetts Nature of the Dispute: Member and Non-Members v. Associated Persons. REPRESENTATION OF PARTIES Claimants Veravest Investment

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Eva M. Davis (Claimant) vs. Jesup & Lament Securities Corp. and Charles James Moni (Respondents) Case Number: 06-00886 Hearing Site: Newark, New Jersey Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Eva M. Davis hereinafter referred to as "Claimant": James F. Mahon, Jr., Esq., James F. Mahon, Jr., Esq., Attorney at Law, Princ