STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant UBS Paine Webber, Inc. i and Case Number: 02-05808 Hearing Site: Dallas, Texas Name of Respondent Michael Hernandez NATURE OF CASE Member v. Associated Person REPRESENTATION OF PARTIES UBS PaineWebber Inc. ("PaineWebber") was represented by Brent A. Burns, Esq. Of the law firm Davidson, Manchel & Brennan, LLP located in Northvale, New J

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Howard Reid and Theresa Reid (Claimants) v. Continental Broker-Dealer Corp., Gregory M. Hasho, Thomas Michael Tiernan, Jr., Dominick Michael Bianco, Leon Fintz, David Harry D'Agostino (Respondents) Case Number: 05-01067 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimants Howard Reid ("H. Reid") a

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Duane Wilke and Marie Wilke v. Aragon Financial Services, Inc. and David P. Bax Case Number: 01-02700 Hearing Site: Las Vegas, Nevada REPRESENTATION OF PARTIES For Claimants: For Respondent Aragon Financial Services, Inc. For Respondent David P. Bax: Richard Peter Kammet Investor Consumer Advocates Las Vegas, Nevada Reza M. Bidgoli, Esq. Aragon Financ

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Michael C. Vanin (Claimant) v. Prudential Securities, Inc. (Respondent) Case Number: 04-07900 Hearing Site: Boston, Massachusetts Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Michael C. Vanin, hereinafter referred to as "Claimant": Gary C. Crossen, Esq., Rubin and Rudman, LLP, Boston, MA. Respondent Prudential Securities, Inc., hereinaf

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Bruce P. Guido, Bruce P. Guido SEP/IRA, Bruce P. Guido, Trustee Bruce P. Guido II, and Bruce P. Guido, Trustee Laura Elise Guido (Claimants) v. McDonald Investments, Inc., and Peter Plungas (Respondents) Case Number: 04-07468 Hearing Site: Cleveland, Ohio Nature of the Dispute: Customers v. Member Firm and Associated Person. REPRESENTATION OF PARTIES Claimants Bruce P. Guido ("G

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: MTRS Portland, Inc., Jay Levy, and Diane Levy (Claimants) v. Citicorp Investment Services and Carol Dahl (Respondents) Case Number: 04-05608 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimants MTRS Portland, Inc., ("MTRS") Jay Levy ("J. Levy"), and Diane Levy ("D. Levy") hereinafter co

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 06-03026 Aram Avanesyan, (Claimant) vs. Firstrade Securities Inc., (Respondent) ATTORNEYS: Claimant appeared pro se, Durham, NC. For Respondent appeared in-house counsel Peter E. Gschweng, Flushing, NY. NATURE OF DISPUTE: Customer vs. Member DATE FILED: June 20, 2006 CASE SUMMARY: Claimant alleged that Respondent failed to timely execute account transfer instructions. Claimant further a

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Bane of America Investment Services, Inc. (Claimant) v. Dennis McNamara and PNC Investments, LLC (Respondents) Case Number: 06-02619 Hearing Site: Newark, New Jersey Nature of the Dispute: Member v. Associated Person and Member REPRESENTATION OF PARTIES Claimant Bane of America Investment Services, Inc. hereinafter referred to as "Claimant": John O. Lukanski, Esq., Wo

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Irena Vodenska (Claimant) vs. J.P.P. Eurosecurities, Inc. (Respondent) Case Number: 06-02156 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member REPRESENTATION OF PARTIES Claimant Irena Vodenska hereinafter referred to as "Claimant": Piper Hoffman, Esq., Outten & Golden, LLP, New York, NY. Respondent J.P.P. Eurosecurities, Inc. hereina

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 06-02077 New Castle Financial Group, Inc., (Claimant) vs. John Rose, (Respondent) ATTORNEYS: For Claimant appeared in house counsel Brett D. Zinner, Esq., Melville, NY. Respondent did not respond to the Statement of Claim. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: April 20, 2006 CASE SUMMARY: Claimant alleged that Respondent breached an employment contract. Claimant fur