Award NASD Dispute Resolution In the Matter of the Arbitration Between: UBS Financial Services Inc., Claimant v. Jack T. Noe and Janet M. Robinson, Respondents Jack T. Noe and Janet M. Robinson, Counter-Claimants v. UBS Financial Services inc., Counter-Respondent Case Number: 05-01496 Hearing Site: Los Angeles, California Nature of the Dispute: Member v. Associated Persons Associated Persons v. Member REPRESENTATION OF PARTIES For Claimant/C

Stipulated Award NASD DISPUTE RESOLUTION In the Matter of the Arbitration Between: § § CHARLOTTE DIANNE McKINLEY, THE § LOUTTICIA T. KALIL REVOCABLE § LIVING TRUST a/k/a THE LOUTTICIA § T, KALIL TRUST U/A DATED 3/21/1997, § Claimants, § § NASD CASE NO. 05-00954 v- § § MERRILL LYNCH, PIERCE, § FENNER & SMITH INCORPORATED, § GENE RANKIN and § MICHAEL A. TRAMONTANO, § Respondents. § NATURE OF THE DISPUTE Public Custo

NASD DISPUTE RESOLUTION MODIFIED AWARD NASD DISPUTE RESOLUTION r CASE: 06-01081 Janney Montgomery Scott, LLC, (Claimant) vs. William Todd, (Respondent) ATTORNEYS: " ~~ For Claimant appeared in-house counsel James Creel, Esq., Philadelphia, PA. Respondent did not submit an Answer to the Statement of Claim. NATURE OF DISPUTE; 'Member v. Associated Person DATE FILED; March 2, 2006 CASE SUMMARY: Claimant alleged that Respondent breached a contract b

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-00862 John A. Zwack Names of the Respondents Hearing Site: Atlanta, Georgia SunTrust Capital Markets, Inc. David Eidson Philip Marshall Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For John A. Zwack, hereinafter referred to as "Claimant": William S. Myers, Esq., Duluth, Georgia. For S

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 05-03921 Jerry Tankersley Name of the Respondent Hearing Site: Jackson, Mississippi Joseph Stevens & Company, Inc. Nature of the Dispute: Customer v. Member. REPRESENTATION OF PARTIES For Jerry Tankersley, hereinafter referred to as "Claimant": J. Brad Pigott, Esq., Pigott, Reeves, Johnson & Minor, P.A., Jackson, Mississippi. For Joseph

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Harold Sandier and Dorothy Sandier JTWROS (Claimants) v. Dupont Securities Group Inc., Dupont Direct Financial Holdings, Inc., Marquis Financial Services, Inc. as successor in interest to Dupont Securities Group, Inc., Stanislav Kaminsky, David Wayne Parsons and Carol Ann Ferrotta (Respondents) Case Number: 05-02422 Hearing Site: New York, New York Nature of the Dispute: Customer vs

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Neil A. Laufer, (Claimant) vs. Stires and Company and Sidney H. Stires, (Respondents) Case Number: 01-02255 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Neil A. Laufer, hereinafter referred to as "Claimant", appeared pro se. Respondents, Stires and Company ("S&C") and Sidney H. Stires ("Stires"), hereinafter collectively referred to as "Respondents": Pe

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Melody Malouf and Name of Respondent Merrill Lynch Pierce Fenner& Smith, Inc. Case Number: 06-00250 Hearing Site: Houston, Texas NATURE OF DISPUTE Customer v. Member Firm REPRESENTATION OF PARTIES Melody Malouf ("Claimant") was represented by Leonard Meyer, Esq. and Nelson Ebaugh, Esq., Zimmerman, Axelrad, Meyer, Stern & Wise, Houston, Texas.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: AIG Financial Advisors, Inc., Claimant v. Gary P. Duffy, Respondent Case Number: 05-06144 Hearing Site: Phoenix, Arizona Nature of the Dispute: Member v. Associated Person REPRESENTATION OF PARTIES For Claimant: John K. Fahey, Esq. AIG Financial Advisors, Inc. Phoenix, Arizona For Respondent: Gary P. Duffy Pro Se Phoenix, Arizona CASE INFORMATION Stat

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 05-05232 Thomas O. Edwards, Jr. Name of the Respondent Hearing Site: Atlanta, Georgia Synergy Investment Group, LLC Nature of the Dispute: Associated Person v. Member. REPRESENTATION OF PARTIES Thomas O. Edwards, Jr., hereinafter referred to as "Claimant," appeared pro se. For Synergy Investment Group, LLC, hereinafter referred to as "Respon