Award NASD Dispute Resolution In the Matter of the Arbitration Between: Wachovia Securities, LLC (Claimant) v. Jay I. Austin (Respondent) Case Number: 05-00396 Hearing Site: Newark, New Jersey Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant Wachovia Securities, LLC hereinafter referred to as "Claimant": John E. MacDonald, Esq., Stark & Stark, Princeton, NJ. Respondent Jay I. Austin hereinafter referred to as "R

Award NASD Dispute Resolution In the Matter of the Arbitration Between: The CMS Group, LLC (Claimant) vs. Chatsworth Securities, LLC and Southwest Securities, Inc. (Respondents) Case Number: 06-01201 Hearing Site: New York, New York Nature of the Dispute: Member vs. Members REPRESENTATION OF PARTIES Claimant The GMS Group, LLC hereinafter referred to as "Claimant": Timothy Walsh, Esq., and Jules Elese Angelley, Esq., DLA Piper Rudnick Gray Gary US L

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 06-01170 Richard S. Young Elizabeth A. Young Name of the Respondent Hearing Site: Orlando, Florida Charles Schwab & Co., Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Richard S. Young and Elizabeth A. Young, hereinafter referred to as "Claimants", appeared pro se. For Charles Schwab & Co., Inc., hereinafter

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-00600 The Estate of Louise T. McCullen (Lottie T. Smith, Executor) Names of the Respondents Hearing Site: Raleigh, North Carolina First Citizens Investor Services, Inc. Timothy Wilson Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For The Estate of Louise T. McCullen (Lottie T. Smith, Execu

Award NASD Dispute Resolution In the Matter of the Arbitration Between: The Anne C. Leitch Trust, Claimant v. Edward D. Jones & Co. and Gregory B. Theobald, Respondents Case Number: 06-00461 Hearing Site: San Francisco, California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Anne C. Leitch Walnut Creek, California For Respondents: Joseph B. Genster Hillis Clark Martin & Peterson

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Alice Chamois (Claimant) vs. Yannick Jeanmarc Bastien (Respondent) Case Number: 06-00369 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Associated Person REPRESENTATION OF PARTIES Claimant Alice Chamois hereinafter referred to as "Claimant" appeared pro-se. Respondent Yannick Jeanmarc Bastien hereinafter referred to as "Respondent": Virginia T. Shea, Esq.,

Award NASD Dispute Resolution in the Matter of the Arbitration Between: Bob T. Hall and Marian G. Hall, Claimants v. Merrill Lynch, Pierce, Fenner & Smith Incorporated and Dean L. Welsh, Respondents Case Number: 06-00294 Hearing Site: San Diego, California Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES For Claimants: Jeffrey P. Lendrum, Esq. Lendrum Law Firm San Diego, California For Respondent

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-08266 Oppenheimer& Co. Inc. Name of the Respondent Hearing Site: Boca Raton, Florida David John Williams, III Nature of the Dispute: Member v. Associated Person. REPRESENTATION OF PARTIES For Oppenheimer & Co. Inc., hereinafter referred to as "Claimant": Coren S. Zadanosky Esq., Boose Casey Ciklin Lubitz Martens, West Palm Beach, Florida.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Howard K. Goldstein and Ellen Solis-Cohen Goldstein, J7WROS (Claimants) v. Ri.chard Drayton, Jr. and Salomon Smith Barney, Inc. (Respondents) : Case Number: 04-07508 Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Customers vs. Associated Person and Member REPRESENTATION OF PARTIES Claimants Howard K. Goldstein ("Howard Goldstein") and Ellen Solis-Cohen Goldstein

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Case Number: 01-02372 J. Michael Stoltz Name of Respondent Hearing Site: Little Rock, Arkansas Salomon Smith Barney, Inc. REPRESENTATION OF PARTIES For J. Michael Stoltz, hereinafter referred to as "Claimant": Richard T. Donovan, Esq., Rose Law Firm, P.A., Little Rock, AR. For Salomon Smith Barney, Inc. ("SSB"), hereinafter referred to as "Respondent": Ellen