Award NASD Dispute Resolution In the Matter of the Arbitration Between: Michael Bergin, Robert Setteducati, Thomas Parigian, and Equity National Capital LLC (Claimants) v. National Securities Corporation (Respondent). Case Number: 06-00588 . Hearing Site: Newark, New Jersey Nature of the Dispute: Associated Persons vs. Member REPRESENTATION OF PARTIES Claimants Michael Bergin ("Bergin"), Robert Setteducati ("Setteducati") Thomas Parigian ("Parigan")

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Alan L. Finkel and Michelle Finkel (Claimants) vs. Andrew Mayer and WJ Nolan & Company (Respondents) Case Number: 05-06623 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Associated Person and Member. REPRESENTATION OF PARTIES Claimants Alan L. Finkel ("A. Finkel") and Michelle Finkel ("M. Finkel") hereinafter collectively referred to as "Claiman

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: Jan L. Bowers, Claimant vs. T.R. Winston & Company, Inc., Brookstreet Securities, Corp. and Jeffrey A. Kahn, Respondents. ATTORNEYS: For Claimant Jeff Dennis Ferentz, Esq. Greenbaum & Ferentz, LLP Newport Beach, California For Respondent T.R. Winston & Company, Inc. John W. Galuchie, Jr. Esq. T.R. Winston & Company, Inc. Bedminster, New Jersey

Award NASD Dispute Resolution In the Matter of the Arbitration Between: McDonald Investments, Inc. (Claimant) vs. Daly Holdings, Inc. d/b/a/ Tower Hill Holdings, Event-Driven Value Inc., and Sean M. Daly (Respondents) Case Number: 05-06562 Hearing Site: Cleveland, Ohio Nature of the Dispute: Member vs. Customers REPRESENTATION OF PARTIES Claimant McDonald Investments, Inc., hereinafter referred to as "Claimant": Scott C. Matasar, Esq., Calfee, Halte

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Thomas R. Patterson (Claimant) vs. Edward D. Jones & Co., L.P. and Rhonda H. McCurry (Respondents) Case Number: 05-05963 Hearing Site: Cleveland, Ohio Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant Thomas R. Patterson hereinafter referred to as "Claimant": Lawrence J. Scanlon, Esq., Scanlon & Co., L.L.C., and Gerald P. Leb., E

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-01835 Vickie Stogner Names of the Respondents Hearing Site: New Orleans, Louisiana Edward D. Jones & Co. Henry Todd Young Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Vickie Stogner, hereinafter referred to as "Claimant": William C. Rowe, Esq. and Sherri A. Young, Esq., Rowe Law Firm,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-00341 Kenneth W. Albert Names of the Respondents Hearing Site: Tampa, Florida Philip A. Lehman Gregory L. Merrick Nature of the Dispute: Associated Person vs. Associated Person. REPRESENTATION OF PARTIES For Kenneth W. Albert ("Alber"), hereinafter referred to as "Claimant": Anthony Paduano, Esq., Paduano & Weintraub, LLP, New York, N

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-00286 First Montauk Securities Corp. Names of the Respondent Hearing Site: Boca Raton, Florida Casey Burt Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For First Montauk Securities Corp., hereinafter referred to as "Claimant": Robert I. Rabinowitz, Esq., First Montauk Securities Corp., Red Bank, New Jersey

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Alan N. Luedman vs. Names of Respondents Citigroup Global Markets, Inc. and Donald Regner Case Number: 06-01177 Hearing Site: Milwaukee, Wisconsin NATURE OF THE DISPUTE Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Alan N. Luedman ("Claimant") was represented by Michael O. Marquette, Esq., Gerbers Law Offices, S.C.,

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Joanne C. Widmaier and James Bitterman, Successor Trustees of the Bernice B. Bitterman Revocable Trust dated February 23,1987 vs. Case Number: 06-00215 Hearing Site: Southfield, Michigan Names of Respondents UBS Financial Services, Inc., Frederick L. Mirbach, and Philip W. Sloan NATURE OF THE DISPUTE Customer vs. Member and Associated Persons