NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC, IN THE MATTER OF THE ARBITRATION between PETER and FLORENCE ARIESSOHN Claimant(s) vs. MERRILL LYNCH PIERCE FENNER & & SMITH, INC. Ressoncer.tl s ; \\ •« \ AWARD 588-02510 Tr.e -rcsrsi cnec caing ---e A.-D--tretc-' se'sc-ac ~c -svisw ana '.re a T.at~er irs controversy Between Lhe accvs-~er.--,c-nea '_/ iu"fT'SPi^. : 3 ! — f^o ~ssccncsr.^; s /. 32" TorT": "i n ^ 5wi3mt ss'ior

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration B e t w e e n ^ ) Margaret Madden ) Claimant ) ) vs. ) CASE #88-02665 ) Shearson Lehman Brothers, Inc. ) ) Respondent(s) ) _J CASE SUMMARY The claim in this matter was filed August 22, 1988. Claimant alleged that Respondent sold the following shares of stock without authorization: 726 shares of Nissan Motors, 200

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between SIDNEY and REBECCA SEID, vs. PRUDENTIAL-BACHE SECURITIES, INC. and HOWARD SEID, Claimants, ) Case 188-02292 Respondents. Award Heard before the members of the Arbitration Panel: Professor Stephen K. Halpert Harry Polansky Leslie Bishop CASE SUMMARY This claim was filed with the NASD, Inc. on July 18, 1988. conducted in Fort Lauderdal

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Prudential Equity Group, LLC f/k/a Prudential Securities Incorporated ("Claimant") v. Bernard Kate ("Respondent") Case Number: 05-04810 Hearing Site: New York. New York Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Prudential Equity Group, LLC f/k/a Prudential Securities Incorporated hereinafter referred to as "Claimant": David W. Schmid

NASD Regulation, Inc. Office of Dispute Resolution REGULATION 125 Broad Street * 36th Floor' New York, NY 10004-2193'212-858-4400 ' Fax 212-858-4389 An NASO Compary Satellite Office at: 1735 K Street' 4th Floor * N W • Washington, DC 20006-1506 " 202-728-8958 * Fax 202-728-6852 N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 99-03385 Barbara Sherwood, claimant vs. Harry Kaplan of ABC Financial Center and Cadaret,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-00474 AIG Financial Advisors, Inc., a Delaware corporation Name of the Respondent Hearing Site: Baltimore, Maryland Ronald John Campbell Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For AIG Financial Advisors, Inc., a Delaware corporation, hereinafter referred to as "Claimant": John K. Fahey, Assistant Ge

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-02773 Dawson James Securities, Inc. Names of the Respondents Hearing Site: Boca Raton, Florida John D. Bergin Thomas J. Heaphy, Jr. Anthony A. Rossi Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Dawson James Securities, Inc., hereinafter referred to as "Claimant": Delmer C. Cowing, III, Esq., L

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Williams Family Trust UAD 3/31/77 and The Williams Wife's Trust UAD 3/31/77, Claimants v. Piper Jaffray & Co. and Walter J. Clarke, Respondents Case Number: 05-06511 Hearing Site: Phoenix, Arizona Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES For Claimants: Jon Titus, Esq. Titus, Brueckner & Berry Scottsdale, Arizona For Respo

Award NASD Dispute Resolution In the Matter of the Arbitration Between: UBS International, Inc., Claimant v. Antonio Maximiliano Duarte, Respondent Case Number: 06-00985 Hearing Site: Los Angeles, California Nature of the Dispute: Member v. Associated Person REPRESENTATION OF PARTIES For Claimant: Sandra Grannum, Esq. Brent A. Burns, Esq. Davidson & Grannum, LLP Orangeburg, New York William M. Montgomery, Esq. UBS Financial Services, Inc

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Robert R. Wahler, Trustee for The Wahler Family Trust, Able LLC, and Westfore LTD, Claimants v. Goldman, Sachs & Co., Respondent Case Number: 06-00113 Hearing Site: Los Angeles, California Nature of the Dispute: Customers v. Member REPRESENTATION OF PARTIES For Claimants Robert R. Wahler, Trustee for The Wahler Family Trust, Able LLC, and Westfore LTD (hereinafter collec