NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Kenneth Chan Claimant vs. Golden Harvest Securities, Inc. Donaldson Lufkin & Jenrette Securities Corp. Gregory Yan Respondents CASE #88-02198 AWARD CASE SWMARY Claimant. Kenneth Chan, alleges thai Respondents, Golden Harvest Securities, Inc., Donaldson Lufkin & Jenrette Securities, Corp. ("DLJ") and Gregory Yan, advised him to engage in tran

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Metier of the Arbitration Between ) EDWIN D. .;;:o PATSY j. DEAN ) Claimants ) and ) ) CASE NO. 88-02145 WEDBUSH SECURITIES, INC. ) Respondent ) CASE SUMMARY Clav.r.ants Edwin D. and Patsy J. Dean (hereinafter the "Claimants") alleged t:-,at Wedbush Securities, Inc. (hereinafter the "Respondent") liquidatsr 1 Claimants' account without notifying Claimants of a margin call

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Arbitration Matter Between) RALPH AND NORMA J. HELM ) Claimants ) v. ) Case No. 88-02140 E. F. HUTTON AND CO., INC. Respondent CASE SUMMARY In a claim filed on or about June 28, 1988, the Claimant's alleged that their order to sell silver futures contracts was negligently delayed due to the late arrival to work of their broker on October 3, 1983. The Respondent denied any negligence in

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between) I James Wilson Claimant ) and ) A W A R D ) 88-02131 First of Michigan ) Resondent and ) Third Party Claimant ) and } Monty L. Jackson Third Party ) Respondent ) SUMMARY OF CASE In a claim filed on or about July 5 f 1988, the Claimant alleged that he entered into an agreement with Respondent Jackson to jointly purcha

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Catherine Santistevan and Joe Santistevan, Claimants v. United Securities Alliance, Inc. and Francisco Galvan, Respondents United Securities Alliance, Inc., Cross-Claimant v. Francisco Galvan, Cross- Respondent Case Number: 04-06937 Hearing Site: San Francisco, California Nature of the Dispute: Customers v. Member and Associated Person Member v. Associated Person REPRESENTAT

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Richard Laub and Nancy Laub Names of the Respondents Merrill Lynch Pierce Fenner & Smith, Inc. Ralph M. Byer Case No.: 02-02312 (consolidated with 02-00891) Hearing Site: Boca Raton, Florida In the Matter of the Arbitration Between: Name of the Claimant Alfred C. Laub Names of the Respondents Merrill Lynch Pierce Fenner & Smith, Inc

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant PNC Investments LLC vs. Case Number: 06-03211 Hearing Site: Cincinnati, Ohio Name of Respondent Jeffrey Thomas NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES PNC Investments LLC ("Claimant") was represented by Matthew J. Morelli, Esq., Ulmer & Berne LLP, Cleveland, Ohio. Jeffrey Thomas ("Respondent") did not appe

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Prudential Equity Group, LLC, f/k/a Prudential Securities, Inc. vs. Case Number: 06-00691 Hearing Site: Kansas City, Missouri Name of Respondent Gary P. Dennington NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES Prudential Equity Group, LLC, f/k/a Prudential Securities, Inc. ("Claimant") was represented by Erin A. Row

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Laura Latham, Guardian for Jessica Latham Until Majority 07/18/08 vs. Case Number: 05-06334 Hearing Site: Chicago, Illinois Name of Respondent Citigroup Global Markets, Inc. NATURE OF THE DISPUTE Customer vs. Member REPRESENTATION OF PARTIES Laura Latham, Guardian for Jessica Latham Until Majority 07/18/08 ("Claimant") was represented by Paul

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Lisa F. Cassady vs. Case No. 99-03334 Name of Respondents Robert Frank Toth Craig Michael Biddick Todd Steven Feinstein Centex Securities Corporation REPRESENTATION OF PARTIES Claimant, Lisa F. Cassady, hereinafter referred to as "Claimant": M. David Sayid, Esq., Sayid & Associates, New York, New York Respondents, Centex Securities Corpo