AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Harry Berger and 05-02190 Chicago, Illinois Name of Respondents Wachovia Securities, LLC Ronald W. Fox Stephen Heckmeyer Neil R. Cooper and Douglas L. Meyer Nature of the Dispute: Customer vs. Member and Associated Persons. REPRESENTATION OF PARTIES Harry Berger ("Claimant") was represented by Sandor L. Grossman, Esq., Chicago, Illinois an

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Ugo Piccagli and Caterina Piccagli_ Case Number: 05-00258 Claimants v. Clair Crossland and VeraVest Investments, Inc. Hearing Site: Dallas, Texas Respondents Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Ugo Piccagli and Caterina Piccagli, hereinafter collectively referred to as "Claimants": Martha Cranda

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Case Number: 05-00147 Alejandro Rivera Names of Respondents Hearing Site: Boca Raton, Florida Credit Suisse First Boston Corporation Alain O'Hayon Santiago Santos Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Alejandro Rivera, hereinafter referred to as "Claimant": Scott M. Zucker, Esq., Law

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Carol C. Goldberg and 06-01518 Chicago, Illinois Name of Respondents RBC Dain Rauscher Inc. Robert Gordon Levine Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Carol C. Goldberg ("Claimant") was represented by Robert C. Goldberg, Esq., Schoenberg, Fisher, Newman & Rosenberg, Ltd., Chicago, Illinois.

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-06668 Camille Santora, (Claimant) vs. Amy K. Scott and Argus Securities, Inc., (Respondents) ATTORNEYS: For Claimant appeared Rick A. Buchwalter, Esq., Clearwater, FL. Respondent Amy K. Scott appeared pro se, New Port Richey, FL. Respondent Argus Securities, Inc. did not submit an Answer to the Statement of Claim. NATURE OF DISPUTE: Customer v. Terminated Member and Associated Person DAT

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Wachovia Securities, LLC and 05-06647 Chicago, Illinois Name of Respondent Leon P. Rehak Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Wachovia Securities, LLC ("Claimant") was represented by Diane C. Fischer, Esq., Ronald P. Kane, Esq. and Jennifer L. Klebes, Esq., Kane & Fischer, Ltd., Chicago, Illinois.

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 01-02284 John W. Mulvena, Claimant/Counterclaim Respondent vs. WallStreet Electronica and Mike Simmons, Respondents/Counterclaim Claimants. ATTORNEYS: Claimant/Counterclaim Respondent appeared pro se, Bettendorf, IA. For Respondents/Counterclaim Claimants appeared Carlos Francisco Otalvaro, Miami, FL. DATE FILED: May 3, 2001 CASE SUMMARY: Claimant/counterclaim Respondent alleged that Respon

Award NASD Dispute Resolution In the Matter of the Arbitration Between; Citigroup Global Markets, Inc. Claimant v. Richard L. Salo, Respondent , Case Number: 05-05612 Hearing Site: Portland. Oregon Nature of the Dispute: Member v. Associated Person REPRESENTATION OF PARTIES For Claimant: Brian C. Free, Esq. Hillts Clark Martin & Peterson Seattle, Washington For Respondent: Richard Salo In Pro Se Vancouver, Washington CASE INF

NASD DISPUTE RESOLUTION MODIFIED AWARD NASD DISPUTE RESOLUTION CASE: 05-05399 Greentree Brokerage Services, Inc., (Claimant) vs. Robert Chaykowsky, (Respondent) ATTORNEYS: For Claimant appeared Harold G. Ognelodh, Esq., of the firm Ognelodh Partners, LLC, Brooklyn, NY. Respondent appeared pro se, Hopewell, NJ. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: October 17, 2005 CASE SUMMARY: Claimant alleged that Respondent left an ou

Amended Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Case Number: 05-04181 Max and Doris Gendelman Name of Respondent Hearing Site: Boca Raton, Florida Bear, Sterns & Co., Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Max and Doris Gendelman, hereinafter referred to as "Claimants," appeared pro se. For Bear, Sterns & Co. r Inc. ("Bear Sterns"), hereinafter referre