Award NASD Dispute Resolution In the Matter of the Arbitration Between: Wedbush Morgan Securities Inc., Claimant v. Richard A. Russo, Sr., Respondent Case Number. 05-02572 Hearing Site: Los Angeles, California Nature of the Dispute: Member v. Associated Person REPRESENTATION OF PARTIES For Claimant Wedbush Morgan Securities Inc. ("Wedbush"): For Respondent Richard A. Russo, Sr. ("Russo"): Gary L. Holmes, Esq. Wedbush Morgan Secur

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Wayne M. Johnson vs. Citigroup Global Markets, Inc. Case Number: 05-01339 Hearing Site: Philadelphia, PA Nature of the Dispute: Customer v. Member. REPRESENTATION OF PARTIES Claimant, Wayne M. Johnson, hereinafter referred to as "Claimant", was represented by Joel D. Feldman, Esq., Anapol Schwartz, Philadelphia, Pennsylvania. Respondent, Citigroup Global Markets, Inc., hereinaft

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Case Number: 05-05395 Damon J. Baldone Mona Martin Christen Henry Lawrence Haydel, II Martin Folse Karl Haydel, Jr. Names of Respondents Hearing Site: New Orleans, Louisiana Basic Investors, Inc. Arthur Daryll Pryor Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Damon J. Baldone ("Baldone"),

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 01-02282 Joseph La Spina, claimant vs. Wall Street Discount Corporation and Investec Ernst & Company, respondents. ATTORNEYS: For Claimant appeared Lawrence A. Pittore, Esq., White Plains, NY. For Respondent Wall Street Discount Corporation appeared John L. Pollock, Esq., of the firm Hoffman Pollock & Pickholz, LLP, New York, NY. For Respondent Investec Ernst & Company appeared Edward

Award NASD Dispute Resolution, Inc. . In the Matter of the Arbitration Between: Joseph Mannino v. Baxter Banks & Smith, Ltd. and Haskel P. Stone, III Case Number: 00-819 Hearing Site: Southfield, Michigan REPRESENTATION OF PARTIES Claimant, Joseph Mannino ("Mannino"), hereinafter referred to as "Claimant": David M. Foster, Esq., Farmington Hills, Michigan. Respondent, Baxter Banks & Smith, Ltd. ("BBS"), hereinafter referred to as "Respondent BBS": F

Award NASD Dispute Resolution In the Matter of the Arbitration Between: RBC Dain Rauscher Inc., Claimant v. Steven W. Hanna, Respondent Case Number: 05-05355 Hearing Site: Portland, Oregon Nature of the Dispute: Member v. Associated Person REPRESENTATION OF PARTIES For Claimant: Carolyn Guy, Esq. RBC Dain Rauscher Inc. Minneapolis, Minnesota For Respondent: Steve W. Hanna ProSe Bend, Oregon CASE INFORMATION Statement of Claim fil

Award NASD Dispute Resolution In the Matter of the Arbitration Between: John Steven Bat, Claimant v. Citigroup Global Markets, Inc. and Larry Neil Koenigsberg, Respondents Case Number: 05-04053 Hearing Site: Denver, Colorado Nature of the Dispute: Associated Person v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Kirk G. Smith, Esq. Shepherd, Smith & Edwards, LLP Houston, Texas For Respondents: Gregory S. Tamkin, Esq.

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants Melissa Sue Pierce, Eugene Craig Pierce, Jennifer L. Nelson and Melissa Sue Pierce individually and as joint account holder for Kurt R. Pierce and Case Number: 05-02412 Hearing Site: Chicago, Illinois Respondents A. G. Edwards & Sons, Inc. and Ronald Scott Endsley NATURE OF DISPUTE Customers v. Member and Associated Person REPRESENTATION OF PARTI

Award NASD Dispute Resolution Wesley E. Franklin and Carole A. Franklin vs. TIAA-CREF Individual & Institutional Services, LLC. Case Number: 05-01838 Hearing Site: Philadelphia, PA Nature of the Dispute: Customers vs. Member. REPRESENTATION OF PARTIES Claimants, Wesley E. Franklin and Carole A. Franklin, hereinafter collectively referred to as "Claimants", were represented by John J. McGovern, Jr., Esq., Scranton, Pennsylvania. Respondent, TIAA-

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Sol Edelstein (Claimant) vs. New York Life Insurance Company and New York Life Securities, Inc. (Respondents) Case Number: 05-01706 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member REPRESENTATION OF PARTIES Claimant Sol Edelstein ("Edelstein") hereinafter referred to as "Claimant": Andrew Himmel, Esq., Himmel & Bernstein, New York, NY. Res