Award NASD Dispute Resolution In the Matter of the Arbitration Between: Emerson Investment Corp Profit Sharing Plan, Claimant v. Cambridge Group Investments, LTD, Respondent Case Number: 05-00160 Hearing Site: Las Vegas, Nevada Nature of the Dispute: Customer v. Member REPRESENTATION OF PARTIES For Claimant: Steven E. Clayton ProSe Las Vegas, Nevada For Respondent: Christopher R. Royce, Esq. Howard & Howard Ann Arbor, Michigan

Award COPY NASD Dispute Resolution In the Matter of the Arbitration Between: Brian Barsky, Claimant v. Wells Fargo Investments, LLC, Wells Fargo Securities, Inc., and Anthony P. Brookfield, Respondents Case Number: 04-05778 Hearing Site: San Francisco, California Nature of the Dispute: Customer v. Members and Associated Person REPRESENTATION OF PARTIES For Claimant: Jay T. Jambeck, Esq. The Schinner Law Group San Francisco, California For Re

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Reza and Saba Mokhtari, Claimants v. Capstone Investments and Ryan M. Gainor, Respondents Case Number: 03-04453 Hearing Site: Los Angeles, California Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES For Claimants: William F. Davis, Esq. Law Offices of William F. Davis Los Angeles, California For Respondents: Scott L. Dahle, Esq.

Amended Award NASD Dispute Resolution In the Matter of the Arbitration Between: Shari Nolan, Claimant v. Phillip D. Hurner and Merrill Lynch, Pierce, Fenner & Smith Incorporated, Respondents Case Number: 02-01455 Hearing Site: San Francisco, California Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Richard A. Roth, Esq. The Roth Law Firm, PLLC New York, New York For Respondents: Blanc

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: First Union Securities, Inc., Claimant Vs. Case Number: 01-02405 Jack W. Hill Respondent. Hearing Site: Nashville, Tennessee REPRESENTATION OF PARTIES Thomas A. Volz, Esquire, of Kane & Fischer, Ltd., Chicago, Illinois, represented Claimant First Union Securities, Inc., now known as Wachovia Securities, Inc. ("Wachovia"). Samuel W. Brown, Esquire, of Becke

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Manohar Lai and Constance Lai, Claimants Vs. Barington Capital Group, L.P., Respondent. Case Number: 00-00836 Hearing Site: Cleveland, Ohio REPRESENTATION OF PARTIES J. Michael Gatien, Esquire, North Canton, Ohio, represented Claimants Manohar Lai and Constance Lai, ("Mr. and Mrs. Lai"), hereinafter referred to as "Claimants". Stuart A. Jackson, Esquire, of

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-01153 Merrill Lynch, Pierce, Fenner & Smith Incorporated Name of the Respondent Hearing Site: Orlando, Florida Heath M. Barrett Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Merrill Lynch, Pierce, Fenner & Smith Incorporated, hereinafter referred to as "Claimant": Jason T, Edelmann, Esq., Rubin Fortuna

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 05-05576 John E. Lundberg Name of the Respondent Hearing Site: Baltimore, Maryland Donaldson, Lufkin & Jenrette Securities Corp., n/k/a Pershing LLC Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES John E. Lundberg., hereinafter referred to as "Claimant", appeared pro se. For Donaldson, Lufkin & Jenrette Securities C

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 05-00372 Luis Eduardo Cordero Luis Eduardo Cordero Case De Bolsa Names of the Respondents Hearing Site: Boca Raton, Florida Merrill Lynch Pierce Fenner & Smith Inc. Merrill Lynch International Limited Nature of the Dispute: Customer vs. Member and Non-Member REPRESENTATION OF PARTIES For Luis Eduardo Cordero and Luis Eduardo Cordero Ca

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-06266 Robert Wood Names of the Respondents Hearing Site: Baltimore, Maryland Legacy Financial Services, Inc. Joseph R. Karsner, IV Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Robert Wood , hereinafter referred to as "Claimant": William B. Young, Esq., Hooper & Weiss, L.L.C