Award NASD Dispute Resolution In the Matter of the Arbitration Between: Lawrence Marcus, Claimant v. Trautman Wasserman & Company, Inc., TW Holding Company, Inc., TW Private Equity Corporation, Greg Trautman, and Samuel Wasserman, Respondents Case Number: 05-02992 Hearing Site: San Francisco, California Nature of the Dispute: Associated Person v. Member, Non-Members, and Associated Persons REPRESENTATION OF PARTIES For Claimant: Cliff Palefsky,

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Craig A. Spry Names of the Respondents Wachovia Securities, LLC Wesley M. Egan Case Number: 05-02701 Hearing Site: Charlotte, North Carolina Nature of the Dispute: Associated Person vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant Craig A. Spry, hereinafter referred to as "Claimant", was represented by Joseph W.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Harold Goldberg Name of the Respondent Citibank d/b/a Citicorp Investment Services Case Number: 05-01231 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Harold Goldberg, hereinafter referred to as "Claimant": Eric Norstedt, Esq., Sonn & Erez, LLP, Fort Lauderdale, Florida. For Citiba

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 05-01580 Marguerite A. Kern Names of the Respondents Hearing Site: Richmond, Virginia National Planning Corp. Dale E. Wright Michael J. Thaler John Edward Girouard Capital Investment Advisors Equity Concepts, LLC Nature of the Dispute: Customer vs. Member, Non-Members, and Associated Persons. REPRESENTATION OF PARTIES Claiman

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Howard Comart, Loretta Comart, David Liebowitz, Scott L. Fleischer Trust U/A DTD, Paige A. Liebowitz Trust U/A DTD, Andrew R. Liebowitz Trust U/A DTD, Stephanie Fleischer Trust U/A DTD (Claimants) v. Merrill Lynch, Pierce, Fenner & Smith Inc., Michael Rosenthal, Stanley Rosenthal, and Lee Ann Quenault (Respondents) Case Number: 05-00203 Hearing Site: New York, New York Na

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-06404 Donna Blanchard Names of the Respondents Hearing Site: Baltimore, MD Legacy Financial Services, Inc. Joseph R. Karsner, IV Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant, Donna Blanchard, hereinafter referred to as "Claimant", was represented by William B. Young, E

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Frederick Jay Arnold, Jr. (Claimant) vs. Regional Brokers, Inc., Patrick C. Lubin, and Joseph A. Hemphill, III (Respondents) Case Number: 05-05945 Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Associated Person vs. Member and Associated Persons REPRESENTATION OF PARTIES Claimant Frederick Jay Arnold, Jr. hereinafter referred to as "Claimant" appeared pro- se.

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 01-02378 Westor Online, Inc., claimant vs. Roland J. Colavito, respondent. ATTORNEYS: For Claimant appeared John J. Meglio, Esq., Flushing, NY. Respondent appeared pro se, New York, NY. DATE FILED: May 8, 2001 CASE SUMMARY: Claimant alleged that respondent failed to repay monies loaned to him. Claimant maintained that respondent worked one day only and never returned. He cashed the

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Jason C. Lime and Kimberly E. Lime (Claimants) vs. Citigroup Global Markets f/k/a Salomon Smith Barney (Respondent) Case Number: 04-05603 Hearing Site: Newark, New Jersey Nature of the Dispute: Customers vs. Member. REPRESENTATION OF PARTIES Claimants Jason C. Lime ("J. Lime") and Kimberly E. Lime ("K. Lime"), hereinafter collectively referred to as "Claimants": Robert S. Moraff

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Alejandro Sucre Names of Respondents Credit Suisse First Boston LLC Fernando Lamas Case Number: 04-01463 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Alejandro Sucre, hereinafter referred to as "Claimant": Eduardo A. Exposito, Esq., Lyons, Lurvey &