N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Pasquale J. Nunzio and Carol M. Nunzio, Trustees of the Pasquale J. and Carol M. Nunzio Trust, Claimant, v. No. 95-05587 Jeffrey S. Kramer and Smith Barney, Incorporated, Respondent. REPRESENTATION OF PARTIES The Claimants were represented by John R. Callahan, Esq. located in Scottsdale, AZ. The Respondents were represented by Ann Parry, Esq. of Smith Barney located in New

NASD FINAL ORDER NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of the Arbitration Between Delbert Becker. Elvada Becker, and the Becker Unitrust. Baptist General Foundation. Trustee. Claimants. v. No. 94-05078 John L. Kassab, Arthur Vem Heim, Estate of Arthur Vern Heim. and Financial Network Investment Corporation. Respondents. REPRESENTATION OF PARTIES Delbert Becker. Elvada Becker, and the Becker Unitrust. Baptist

AWARD NASD REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Keith E. Walsh Case No. vs. 94-03300 Name of Respondents CS First Boston Corporation CS First Boston Investment Management Cp REPRESENTATION For Claimant, Keith E. Walsh ("Claimant") Richard M. Gelb, Esq. from the law firm of Gelb & Gelb located in Boston, Massachusetts. For Respondents, CS First Boston Corporation ("CSFBC") and CS First Boston Inve

Award NASD Dispute Resolution In the Matter of the Arbitration Between: RBC Dain Rauscher Inc., Claimant v. Morgan Stanley DW Inc., Grace E. Kim, and Jared B. Salter, Respondents Grace E. Kim and Jared B. Salter, Counter-Claimants v. RBC Dain Rauscher Inc., Counter-Respondent Case Number: 05-03854 Hearing Site: Los Angeles, California Nature of the Dispute: Member v. Member and Associated Persons Associated Persons v. Member REPRESENTATION OF PA

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Silvia Radulescu Names of the Respondents Stanford Group Company UBS Financial Services, Inc. f/k/a UBS PaineWebber, Inc. UBS International, Inc. Wallstreet Electronica, Inc. Pedro Penzini Cecilia Gonzalez Rafael Avila Carlos F. Otalvaro Carlos N. Otalvaro Case Number: 04-08573 Hearing Site: Boca Raton, Florida

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: lola S. Shroutv. Everen Securities, Inc. And Marshall Lewis Case Number: 99-3288 Hearing Site: Omaha, Nebraska REPRESENTATION OF PARTIES Claimant, lola S. Shrout ("Shrout"), hereinafter referred to as "Claimant": Rodney K. Vincent, Esq., Vincent Law Offices, Lincoln, Nebraska. Respondent, Everen Securities, Inc. ("Everen"), hereinafter referred to as "Respondent": William D. Nelso

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Name nf the riaimantq Case NiiTnher- 00-01105 Jonathan M. and Susan M. Gorog Names nf the Anderson & Strudwick Incorporated, Norman K. Marshall and Charles A. Mills, HI Rearing Site- Norfolk, VA PARTTFSi Claimants, Jonathan M. and Susan M. Gorog ("Claimants") were represented by Eric S. Chofhas, Esq. and Celeste McCollough, Esq. of the law firm of Chorey, Taylo

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-03131 Robert M. Churilla Names of the Respondents Hearing Site: Richmond, VA UBS Financial Services, Inc. Anthony Frigoletto Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Robert M. Churilla, hereinafter referred to as "Claimant", appeared pro se. For Respondent UBS Financial Services, Inc.

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Albert L. Walters vs. Case Number: 06-00546 Hearing Site: Kansas City, Missouri Names of Respondents Jo Colombo, Douglas Royle, and Brian T. Wall NATURE OF THE DISPUTE Customer vs. Associated Persons REPRESENTATION OF PARTIES Albert L. Walters ("Claimant") appeared pro se. Jo Colombo ("Colombo"), Douglas Royle ("Royle"), and Brian T. Wall ("Wall"

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Dr. John L. Green and Harriet H. Green, Individually and as Trustees of the John L. Green and Harriet H. Green Living Trust vs. Case Number: 06-000571 Hearing Site: Kansas City, Missouri Names of Respondents Adam S. Bold and The Mutual Fund Store NATURE OF THE DISPUTE Customers vs. Associated Person and Non-Member REPRESENTATION OF PARTIES