Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Case Number: 05-05467 James G. King, III Name of Respondent Hearing Site: Raleigh, North Carolina Scott & Stringfellow, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant James G. King, III ("King") appeared pro se. For Scott & Stringfellow, Inc. ("S & S"), hereinafter referred to as "Respondent": Paul D. Anders, Esq., Le

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-02437 Georgia Capital Partners, Inc. Name of the Respondent Hearing Site: Orlando, Florida Norbert PJ Gilbert Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Georgia Capital Partners, Inc., hereinafter referred to as "Claimant": Eric Lee, Esq., Lee & Amtzis, Boca Raton, Florida. Respondent

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 05-03017 Juan Miguel Garcia Name of Respondent Hearing Site: Boca Raton, Florida Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES For Juan Miguel Garcia, hereinafter referred to as "Claimant": Curtis Carlson, Esq., Carlson & Lewittes, P.A., Miam

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-05036 Dora Rodriguez Names of Respondents Hearing Site: Boca Raton, Florida Morgan Stanley DW, Inc. Janet Stamm Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Dora Rodriguez, hereinafter referred to as "Claimant": Randall Place, Esq., Blum & Silver, LLP, Coral Springs, Florida. For Morgan Stanley DW, Inc

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-01992 Overseas Investment Group Names of the Respondents Hearing Site: Boca Raton, Florida Wall Street Electronica, Inc. Herzog, Heine, Geduld, Inc. Carlos Francisco Otalvaro Carlos Noe Otalvaro Nature of the Dispute: Customer vs. Member & Associated Person. REPRESENTATION OF PARTIES For Overseas Investment Group, hereinafter refe

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-00581 Michael W. Tyre Names of the Respondents Hearing Site: Baltimore, Maryland Merrill Lynch, Pierce, Fenner & Smith Adrian Judson Force Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Michael W. Tyre, hereinafter referred to as "Claimant": Brian C. Parker, Esq., Parker, Dumler

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Charles DeMartini, Claimant v. Manuel "Sonny" Arias, Steven D. Hotovec, Hotovec, Pomeranz & Co., Inc. a/k/a Hotovec, Pomeranz & Co., LLC and HPC Ventures, LLC, Respondents Manuel "Sonny" Arias, Cross-Claimant v. Hotovec, Pomeranz & Co., Inc. a/k/a Hotovec, Pomeranz & Co., LLC, HPC Ventures, LLC and Steven D. Hotovec, Cross- Respondents Manuel "Sonny" Arias, Third-Party Claimant

Award NASD Dispute Resolution In the Matter of the Arbitration Between: CWH Wholesale, a sole proprietorship of Yosuf M. Abedi, Claimant v. Charles Schwab & Co., Inc., Respondent Case Number: 03-00379 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member REPRESENTATION OF PARTIES For Claimant: Daniel B. Spitzer, Esq. Law Offices of Daniel B. Spitzer Encino, California For Respondent: Richard A. Karoly, Esq. Char

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Electronic Trading Group, LLC, Claimant v. Andover Brokerage, L.L.C., Spectrum Capital Partners, Jeffrey P. Gradinger, Matthew A. White, Jason M. Saxon, Frank L. Hernandez, Jr. and Rakesh K. Patel, Respondents Case Number: 01-04211 Hearing Site: San Francisco, California Nature of the Dispute: Member v. Member, Non-Member and Associated Persons REPRESENTATION OF PARTIES For Clai

Amended Award NASD Dispute Resolution In the Matter of the Arbitration Between: Audrey Snaps Revocable Trust dtd 9/5/91, Claimant v. Albert D. Adam, Respondent Case Number: 06-00971 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Associated Person REPRESENTATION OF PARTIES For Claimant: Audrey Shaps In Propria Persona Thousand Oaks, California For Respondent: Judy Louie, Esq. Wachovia Securities, LLC Pasadena, Ca