Award NASD Dispute Resolution In the Matter of the Arbitrations Between: Craig L. Reager, Claimant v. First Union Securities, Inc. n/k/a Wachovia Securities, LLC and Jeffrey J. Bouchard, Respondents First Union Securities, Inc. n/k/a Wachovia Securities, LLC, Counter-Claimant v. Craig L. Reager, Counter-Respondent Case Number: 02-03721 Hearing Site: Los Angeles, California Nature of the Disputes: Associated Person v. Member and Associated Person

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant: Case Number: 02-03798 James A. Brodie Name of the Respondents: Hearing Site: New York, Sands Brothers & Co., Ltd. New York Steven Sands Glen McKelvey Peter Moore Michael Tuscano Michael Caska Robert Bonaventura Charles Robinson REPRESENTATION OF PARTIES Claimant, James A. Brodie, hereinafter referred to as "Claimant": pro se Resp

NASD Dispute Resolution Arbitration No. 02-02889 Award Page 1 of 5 Award NASD Dispute Resolution In the Matter of the Arbitration Between: Sandeep D. Kitson and Gurpreet S. Sabharwal, (Claimants) vs. Investprivate, Inc., Scott L. Mathis, and Alan H. Underberg, (Respondents) Case Number: 02-02889 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Sandeep D. Kitson ("Kitson") and Gurpreet S. Sabharwal ("Sabharwal"), hereinaf

Award NASD Regulation. Inc. on a^j f/'s-r 7./7.02- In the Matter of the Arbitration Between Name of Claimant Craig M. Porter Case No. 99-02779 Names of Respondents Marion Bass Securities Corporation Marion Bass Marion Bass Holdings REPRESENTATION OF PARTIES Craig M. Porter ("Porter"), hereinafter referred to as "Claimant", appeared pro se. For Respondents Marion Bass Securities Corp. and Marion Bass, hereinafter referred to as "R

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Larry E. Sandburg, Individually and Larry E. Sandburg as beneficiary of Delaware Charter Guaranty & Trust Company, f/b/o Larry E. Sandburg IRA and Case Number: 02-02808 Hearing Site: Omaha, Nebraska Names of Respondents Donald & Company Securities, Inc., and Bruce L. Troyer REPRESENTATION OF PARTIES Larry E. Sandburg, Individually and Larry

Modified Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Frank Vina, Diana Vina, and Leanna Vina, (Claimants) vs. Sherwood Securities Corp. a/k/a NDB Capital Markets, Suretrade, Inc., Fleet Securities, Inc., and FleetBoston Robertson Stephens, Inc., (Respondents) Case Number: 00-01202 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Frank Vina ("F. Vina"), Diana Vina ("D. Vina"), and Leanna Vina ("L. Vi

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Dr. Herbert L. Bircoll, individually and on behalf of STC GUST IRA f/b/o Herbert L. Bircoll and Respondents Linsco/Private Ledger Corp., and Timothy E. Zimcosky Case Number: 04-00211 Hearing Site: Detroit, Michigan NATURE OF DISPUTE Customer v. Member and Associated Person REPRESENTATION OF PARTIES Dr. Herbert L. Bircoll, individual

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Deanna D'Amato Hohmann, Individually and as Executrix of the Estate of Rose Laccitiello (Claimants) vs. Prudential Equity Group, Inc. f/k/a Prudential Securities, Inc. and Michael D. Lereah (Respondents) Case Number: 05-05198 Hearing Site: Newark, New Jersey Nature of the Dispute: Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Claimants Deanna D'

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Pythia Finance Corp. (Claimant) vs. Prudential Equity Group, LLC f/k/a Prudential Securities and Anthony Sica (Respondents) Case Number: 05-03469 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant Pythia Finance Corp. hereinafter referred to as "Claimant": John T. McGuire, Esq., John T.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Paul S. Dare and LoriAnn Dare (Claimants) vs. Morgan Stanley DW Inc. (Respondent) Case Number: 05-02829 Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Customers vs. Member. REPRESENTATION OF PARTIES Claimants Paul S. Dare ("P. Dare") and LoriAnn Dare ("L Dare"), hereinafter collectively referred to as "Claimants": Debra G. Speyer, Esq., Law Office of Debra Speyer, B