NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant John Diaz Case No. vs. 97-04335 Name of Respondents D.H. Blair & Co., Inc., Kenton E. Wood William Badinelli and Elliott Polatoff REPRESENTATION For Claimant John Diaz ("Claimant"), Susan F. Drogin, Esq., located in Boston, Massachusetts. For Respondents D.H. Blair & Company ("D.H. Blair"), Kenton E. Wood "(Wood"), and William Badinelli ("Badinelli"

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Peter Maksymuk, III and Siglinde Maksymuk, ("Claimants") vs. Pacific Brokerage Services, Inc., ("Respondent") Case Number: 97-02440 Hearing Site: New York, NY REPRESENTATION OF PARTIES Claimants, Peter Maksymuk, III and Siglinde Maksymuk, hereinafter collectively referred to as "Claimants": Christine Cole, Esq., Slater & Cole, LLP, New York, NY. Respondent, Pacific Brokerage Servi

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Robert Lichtenstein 97-01828 Name of Respondents William Saydein George Swan Cygnet Securities, Inc. REPRESENTATION For Robert Lichtenstein ("Lichtenstein") appeared Matthew S. Levine, Esq. of the firm Singer Frumento LLP, located in New York, New York. Prior to the hearing in this matter Lichtenstein assigned his claim to John J. Gibbons as Trustee

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Names of Claimants Morris Eisinger Beatrice Eisinger Case No. 99-02888 Names of Respondents Jay M. Dugan First Associated Securities Group, Inc. First Securities USA, Inc. REPRESENTATION OF PARTIES For Morris Eisinger and Beatrice Eisinger, hereinafter collectively referred to as "Claimants": Brenda M. Combs, Esq., Williams Schifino Mangione & Ste

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Paine Webber, Inc. 97-00502 Name of Respondent Martin F. Schneider REPRESENTATION For Claimant PaineWebber, Inc. ("Claimant") appeared Stephanie Morse-Shamosh, Esq., internal representation for PaineWebber, Inc. located in Weehawken, New Jersey. Respondent Martin F. Schneider ("Respondent") appeared pro se. CASE INFORMATION Claimant's Statement of C

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Scottrade, Inc. (Claimant) vs. Babak Assadi (Respondent) Case Number: 06-02470 Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant Scottrade, Inc. hereinafter referred to as "Claimant": Thomas E. Douglass, Esq., Kenton E. Knickmeyer, Esq., and Thomas L. Azar, Jr., Esq., Thompson Coburn LLP, St. Louis, MO

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 06-02444 Sanjana Goyle, (Claimant/Counterclaim Respondent) vs. Interactive Brokers, LLC, (Respondent/Counterclaim Claimant) ATTORNEYS: Claimant/Counterclaim Respondent t appeared pro se, Sacramento, CA. For Respondent/Counterclaim Claimant appeared in-house counsel John Nielands, Washington, DC. NATURE OF DISPUTE: Customer vs. Member DATE FILED: May 10, 2006 CASE SUMMARY: Claimant/C

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Milestone Financial Services, Inc. and Masterpiece Management, Inc. (Claimants) vs. Kenneth Dwyer (Respondent) Case Number: 05-05653 Hearing Site: New York, New York Nature of the Dispute: Member and Non-Member vs. Associated Person REPRESENTATION OF PARTIES Claimants Milestone Financial Services, Inc. ("Milestone") and Masterpiece Management, Inc. ("Masterpiece") hereinafter co

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Alice C. Salzberg (Claimant) v. Sage Rutty & Co., Inc. and Douglas Parker (Respondents) Case Number: 05-03906 Hearing Site: Buffalo, New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Alice C. Salzberg hereinafter referred to as "Claimant": Douglas A. Foss, Esq. Harris Beach PLLC, Rochester, NY. Respondent

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Gary L. Black (Claimant) v. CUNA Brokerage Services, Inc. and Emmor E. Boslet (Respondents) Case Number: 05-03167 Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Gary L. Black hereinafter referred to as "Claimant": Rob Bleecher,, Pecht & Associates, PC, Mechanicsburg, PA. Respondent