Award NASD Dispute Resolution In the Matter of the Arbitration Between: Gregory Gentile (Claimant) vs. Tanstaafl Research & Trading LLC (DBA Stonehenge Trading LLC) (Respondent) Case Number: 05-05054 Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Associated Person vs. Non-Member. REPRESENTATION OF PARTIES Claimant Gregory Gentile hereinafter referred to as "Claimant": Norman M. Valz, Esq., Norman M. Valz & Associates, P.C., Philadel

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Richard M. Techtmann and Monica D. Techtmann (Claimants) v. Merrill Lynch & Co., Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated, and Michael Payne (Respondents) Case Number: 05-04870 Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Customers v. Member, Non-Member, and Associated Person. REPRESENTATION OF PARTIES Claimants Richard M. Techtmann and Mon

Award NASD Dispute Resolution In the Matter of the Arbitration Between: HMD Capital Management (Claimant) vs. Thinkequity Partners, LLC (Respondent) Case Number: 05-02909 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant HMD Capital Management hereinafter referred to as "Claimant": Robert Bertsch, Esq., Bertsch & Associates, Port Washington, NY. Respondent Thinkequity Partners, LLC, Benja

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Wayne V. and Sandra A. Fassett and the Wayne V. Fassett IRA (Claimants) vs. Park Avenue Securities, LLC (Respondent) Case Number: 05-02780 Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Customers vs. Member. REPRESENTATION OF PARTIES Claimants Wayne V. and Sandra Fassett and the Wayne V. Fassett IRA, hereinafter collectively referred to as "Claimants": John J. M

Award NASD Dispute Resolution In the Matter of the Arbitration Between: McMahan Securities Co., L.P. (Claimant) v. Michael Shillan (Respondent) and Michael Shillan (Claimant) v. McMahan Securities Co., L.P. (Respondent) Case Number: 04-05460 Hearing Site: New York, New York (consolidated with 04-05656) Nature of the Dispute 04-05460: Member v. Associated Person Nature of the Dispute 04-05656: Associated Person v. Member REPRESENTATION OF PARTIES

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Douglas S. Hughes, (Claimant) vs. Discover Brokerage Direct and Lombard Institutional Brokerage (Respondents) Case Number: 99-02308 Hearing Site: New York, NY REPRESENTATION OF PARTIES Claimant, Douglas S. Hughes, hereinafter referred to as "Claimant": Agnes S. Park Esq., Honen & Wood, P.C., Albany, NY. Respondent, Discover Brokerage Direct ("Discover"): Robert T. Sullwold, Esq.,

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Karl Neuwiler, Inc. Pension Trust and Karl Neuwiler, Inc. Employees Profit Sharing Plan (Claimants) v. Carla G. Bond and Merrill Lynch, Pierce, Fenner & Smith, Inc. (Respondents) v. Daniel Neuweiler (Third-Party Respondent) Case Number. 04-00829 Hearing Site: Newark, New Jersey Nature of the Dispute: Customers v. Associated Person and Member v. Customer REPRESENTATION OF

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Richard Vitale, Richard Vitale IRA Rollover, and Paul Stavrolakes (Claimants) v. Salomon Smith Barney, Inc., n/k/a Citigroup Global Markets Inc. and Jordan Mayer Case Number: 03-02920 Hearing Site: New York, New York Nature of the Dispute: Customers v. Member and Associated Person. REPRESENTATION OF PARTIES Richard Vitale ("Vitale"), Richard Vitale IRA Rollover ("Vitale I

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-00686 Roberta S. Fowler Names of the Respondents Hearing Site: Atlanta, Georgia A.G. Edwards & Sons, Inc. Frederick J. Barton Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Roberta S. Fowler, hereinafter referred to as "Claimant": Theodore E.G. Pound, Esq. and Natalie Woodward, Esq., Ma

AMENDED AWARD NASD DISPUTE RESOLUTION In the Matter of the Arbitration Between: Prudential Equity Group, LLC f/k/a Prudential Securities, Incorporated vs. George Stanley Blake Case Number: 06-00024 SITUS: Atlanta, Georgia NATURE OF DISPUTE: Member vs. Associated Person. REPRESENTATION OF PARTIES Prudential Equity Group, LLC, hereinafter referred to as "Claimant": Alan M. Lubiner, Esq., Lubiner & Schmidt, Cranford, New Jersey. Resopndent did