Award NASD Dispute Resolution In the Matter of the Arbitration Between: Gerald Montiel, Claimant v. Newbridge Securities Corporation and Randall Scott Humphrey, Respondents Case Number: 05-05368 Hearing Site: San Diego, California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Paul Kennerson, Esq. John K. Grant, Esq. Kennerson & Grant, LLP San Diego, California For Respondent Newbr

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Charles Schwab & Co., Inc., Claimant v. Senping Chang, Respondent .•HWi"'"---' Senping Chang, Counter-Claimant v. Charles Schwab & Co., Inc., Counter-Respondent Case Number: 05-03683 Hearing Site: Los Angeles, California Nature of the Dispute: Member v. Customer Customer v. Member REPRESENTATION OF PARTIES For Claimant / Counter-Respondent (hereinafter "Claima

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Merline C. Learning and GLFP, LTD., Claimants v. Prudential Equity Group, LLC f/k/a Prudential Securities Incorporated, and Wachovia Securities, LLC, Respondents Case Number: 05-02566 Hearing Site: Salt Lake City,Utah Nature of the Dispute: Customers v. Members REPRESENTATION OF PARTIES For Claimants: Mark J. Appteton, Esq. Robinson Waters & O'Dorisio Denver, Colorado

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Linda Frank and Names of Respondents Wachovia Securities, LLC and Lombard Securities, Inc. Case Number: 04-03957 Hearing Site: Houston, Texas NATURE OF DISPUTE Customer v. Member Firms REPRESENTATION OF PARTIES Linda Frank ("Claimant") was represented by Enrique G. Sema, Esq., Serna & Associates, PLLC 5 San Antonio, Texas. Wach

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Milestone Financial Services, Inc. (Claimant) v. Ronald Siracusa (Respondent) Case Number: 05-05652 Hearing Site: New York, New York Nature of the Dispute: Member v. Associated Person REPRESENTATION OF PARTIES Claimant Milestone Financial Services, Inc. hereinafter referred to as "Claimant": Randy Scott Zefin, Esq., Randy Scott Zelin, P.C., Westbury, NY. Respondent Ronald Siracu

Award NASD Dispute Resolution In the Matter of the Arbitration Between: J.P. Turner and Company, LLC. (Claimant) v. Sean Mescall (Respondent) Case Number: 05-02740 Hearing Site: New York, New York Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant J.P. Turner and Company, LLC. ("Claimant"): Dianne Papierniak, Esq., In- House counsel, J.P. Turner and Company, LLC., Atlanta, Georgia. Respondent Sean Mescall ("Respon

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 01-02258 Thomas C. Florentine, claimant vs. Michael Halfon and Morgan Stanley Dean Witter, respondents. ATTORNEYS: Claimant appeared pro se, Tarrytown, NY. -For Respondents appeared Douglas F. Stone, Esq., in-house counsel, New York, NY. DATE FILED: May 2, 2001 CASE SUMMARY: Claimant alleged that respondents purchased shares of CMTN stock without his knowledge or authorization. Cl

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Peter Donohue (Claimant) vs. Prime Charter Ltd., Fahnestock & Co. Inc., Oppenheimer & Co., Inc., Steven Frank Schwartz, Maritsa Electra Varvitsiotes and Christopher Jon Brainard (Respondents) Case Number: 04-03197 Hearing Site: New York, New York Nature of Dispute: Customer vs. Members and Associated Persons REPRESENTATION OF PARTIES Claimant Peter Donohue herei

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Walter Edwin Moore, 111 and Case Number: 04-02504 Hearing Site: Troy, Michigan Respondents GunnAllen Financial, Inc., and Wesley G. Gardner NATURE OF DISPUTE Customer v. Member and Associated Person REPRESENTATION OF PARTIES Walter Edwin Moore, III ("Claimant") was represented by Anthony V. Trogan, Esq., and Lysa Postula-Stein, Esq., Anthony V. Trogan

„ NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 06-01144 Barry W. Hurff, IRA, Janice Hurff, IRA, and Matthew Hurff (Claimants) vs. Edward D. Jones & Co., LLP, (Respondent) ATTORNEYS: For Claimants appeared Adam M. Green, Esq., of the firm Anapol, Schwartz, Weiss, Cohan, Feidman & Smalley, P.C., Philadelphia, PA. For Respondent appeared Timothy M. Huskey, Esq., of the firm Greensfelder. Hemker & Gale, P.C., St. Louis, MO. NATURE OF