Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 05-06140 Larry P. Downey Name of the Respondent Hearing Site: Birmingham, Alabama CIBC World Markets Corp. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Larry P. Downey , hereinafter referred to as "Claimant": Philip M. Aidikoff, Esq., Robert A. Uhl, Esq. and Ryan K. Bakhtiari, Esq., Aidikoff, Uhl & Bak

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 05-05832 AIG Financial Advisors, Inc. Names of the Respondents Hearing Site: Tampa, FL Clyde Marshall Thornburg Neven Latchezarov Petrov Jeffrey Guy Labelle Todd David Klimson Robert Wesley Turley Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For AIG Financial Advisors, Inc. ("AIG"), hereinafter r

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 05-05622 Mark B. Poison Names of the Respondents Hearing Site: Birmingham, Alabama Morgan Stanley Dean Witter & Company Richard B. Hirsch Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Mark B. Poison, hereinafter referred to as "Claimant": Stephen D. Heninger, Esq., Heninger, Burge, Vargo

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant James Roach, Alice Roach (deceased) and James Roach, Jr., JTWROS Names of the Respondents Fahnestock & Co., Inc. n/k/a Oppenheimer & Co., Inc. Case Number: 05-05137 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For James Roach, Alice Roach (deceased) and James Roach, Jr., JTWROS, herea

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Sal and Elias Tacher (Claimants) v. U.S. Securities & Futures Corp., Alan Saretsky, and John King (Respondents) Case Number: 99-02879 Hearing Site: New York, New York Nature of the Dispute: Customers v. Member, Non-Member, and Associated Person. REPRESENTATION OF PARTIES Claimants Sal and Eiias Tacher ("The Tachers") hereinafter collectively referred to as "Claimants": Randy S.

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant William R. Winter, Jr. and 00-01044 Minneapolis, Minnesota Name of Respondents Barren Chase Securities Sean M. Zausner REPRESENTATION OF PARTIES William R. Winter, Jr. ("Claimant") was represented by Albert A. Woodward, Esq., Leonard Street and Deinard, P.A., Minneapolis, Minnesota. Barren Chase Securities ("Respondent Barron Chase") was rep

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 05-04646 Larry Rinker Michael McKnight Mark Wiebe Jason Bateman and, Steve Axman, each individually and each on behalf of any of their retirement accounts, trusts, etc. used to invest in Red Coat Capital Partners III Names of the Respondents Hearing Site: Orlando, Florida CIBC World Markets Corp. Oppenheimer & Co. a/k/a Fahnest

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Janet J. Barry Patricia Cheramie Ned A. Cole The John Desmond Rollover IRA Dave Humphreys Roy S. and Cathy D. Hunt Dr. Morris J. Kloor, Jr. Bertram J. Levey The Bertram J. Levey IRA/SEP Marian C. Levey Sydney M. McBride Dolores T. Petrie Hattie Lou Randall The Otto A. Rees Rollover IRA Michael and Naomi Ricca Robin B

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Lloyd Rothschild Names of the Respondents Wachovia Securities, LLC f/k/a First Union Securities George W. Holden, III Case Number: 05-00613 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Lloyd Rothschild, hereinafter referred to as "Claimant": Willia

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 05-00234 Morton E. "Woody" Wolverton Name of the Respondent Hearing Site: Tampa, Florida Robert W. Baird & Co., Inc. Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES For Morton E. "Woody" Wolverton, hereinafter referred to as "Claimant": William T. Kirtley, Esq., William T. Kirtley, P.A., Sarasota, Florida.