Award NASD Dispute Resolution In the Matter of the Arbitration Between: Wachovia Securities, LLC (Claimant) vs. Theodore Thiro (Respondent) Case Number: 04-08309 Hearing Site: New York, New York Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Wachovia Securities, LLC ("Wachovia"), hereinafter referred to as "Claimant": John E. Jenkins, Esq., Lubiner & Schmidt, Cranford, NJ. Respondent Theodore Thiro ("Thiro"),

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Richard McLoone (Claimant) vs. Chicago Investment Group, L.L.C., Michael Delcervo, Michael Kalfa, Frank Lunn, and Richard Lynch (Respondents) Case Number: 04-06871 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant Richard McLoone hereinafter referred to as "Claimant": James E. Nealon, E

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Marc Marcou, Brent McTaggart, Matthew Chin, Frank Marasco, Sam Escodero, John Ryan, Gabriel D. Simon, Terrance Wood, and Shahid Malik (Claimants) vs. Patterson Travis, Inc., Judah Wernick, Stephen M. McNeely, David Travis, and Patterson Travis Operating Account, Inc. (Respondents) Case Number: 99-02778 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, M

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Joseph Esposito (Claimant) v. Wachovia Securities Financial Network, Inc. (Respondent) Case Number: 04-00103 Hearing Site: New York, New York Nature of the Dispute: Associated Person v. Member. REPRESENTATION OF PARTIES Claimant Joseph Esposito hereinafter referred to as "Claimant": David B. Wechsler, Esq., and Debora A. Pitman, Esq., Wechsler & Cohen, LLP, New York,

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Paul Wiebel (Claimants) vs. Salomon Smith Barney, Inc. and George Feneis (Respondents) Case Number: 02-07073 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Paul Wiebel hereinafter referred to as "Claimant": David L. Johnson, Esq., Morris, Downing & Sherred, LLP, Newton, NJ. Resp

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 06-03443 Daunne and Dean Fraley, (Claimants) vs. Paul McDonald and Charles Schwab & Co., Inc., (Respondents) ATTORNEYS: Claimants appeared pro $e, Camarillo, CA. For Respondent Charles Schwab & Co., Inc. appeared in-house counsel Sean Meehan, Esq.. San Francisco, CA. Respondent Paul McDonald did not submit an Answer to the Statement of Claim. NATURE OF DISPUTE: Customers v. Member and A

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 06-03400 Wells Fargo Investments, LLC, (Claimant) vs. William E. Rice, (Respondent) ATTORNEYS: For Claimant appeared Diane C. Fischer, Esq., of the firm Kane & Fischer, Ltd., Chicago, IL. Respondent did not submit an Answer to the Statement of Claim. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: July 19, 2006 CASE SUMMARY: Claimant alleged that Respondent breached a contrac

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 06-03342 Lynn A. Abbate, as Executrix for the Estate of Sargent R. Tarzy, (Claimant) vs. Westrock Advisors, Inc., (Respondent) ATTORNEYS: For Claimant appeared David A. Gehn, Esq., of the firm Gusrae, Kaplan, Brung & Nusbaum, PLLC, New York, NY. For Respondent appeared in-house counsel Andrew Shapiro, Esq., New York, NY. NATURE OF DISPUTE: Customer vs. Member DATE FILED: July 17, 2006

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 06-02972 Janney Montgomery Scott, LLC, (Claimant) vs. Michael T. Widlake, (Respondent) ATTORNEYS: ~~ For Claimant appeared in-house counsel Carrie L. Chelko, Esq., Philadelphia, PA, Respondent did not submit an Answer to the Statement of Claim. NATURE OF DISPUTE: Member v. Customer DATE FILED: June 20, 2006 CASE SUMMARY: Claimant alleged that Respondent breached a contract by fa

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 06-02643 Liliana Bravo, (Claimant) vs. Guido Jorge Alvarez and Morgan Stanley DW, Inc., (Respondents) ATTORNEYS: For Claimant appeared Richard S. Frankowski, Esq., of the firm Whatley Drake, LLC, Birmingham, AL. For Respondents appeared in-house counsel Jeffrey Wade, Esq., Purchase, NY. NATURE OF DISPUTE: Customer v. Member and Associated Person DATE FILED: May 30, 2006 CASE SUMMARY