PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #92-00766 AWARD In che Matter of the Arbitration Between Richard Tanis and Pamela Tanis Claimants VS. Dean Witter Reynolds, Inc. Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 4, 1992, Claimants Richard & Pamela Tanis, who appeared Pro Se, alleged that Respondent Dean Witter Reynolds, Inc. was negligent when t

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Bruce Wiegand, Claimant v. Wachovia Securities, LLC., Respondent Wachovia Securities, LLC, Counter-Claimant v. Bruce Wiegand, Counter-Respondent Case Number: 06-00462 Hearing Site: San Diego, California Nature of the Dispute: Associated Person v. Member Member v. Associated Person REPRESENTATION OF PARTIES For Claimant/Counter-Respondent ("Claimant"): L. B. Chip Edleson, Esq

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Niels William Bjerre, Jr., and Linda Marie Bjerre, Claimants v. Wachovia Securities, LLC, Respondent Case Number: 05-02096 Hearing Site: San Francisco, California Nature of the Dispute: Customers v. Member REPRESENTATION OF PARTIES For Claimants: Nicholas P. lavarone, Esq. SimmonsCooper LLC East Alton, Illinois For Respondent: G. Thomas Fleming III, Esq. Robert J. Gi

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Maria F. Aerts on behalf of the Maria Aerts IRA Roll-Over and Maria Aerts Roth Conversion IRA, Claimants v. H.D. Vest Investment Services and Frederic R. Chavez, Respondents Case Number. 06-03314 Hearing Site: Houston, Texas Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Richard J. Edson, Esq. Law Offices of Richard J.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Laura Matthews (Claimant) v. PNC Investments and Stephen Thatcher (Respondents) Case Number: 02-06734 Hearing Site: New York, New York Nature of the Dispute: Customer v. Non-Member and Associated Person. REPRESENTATION OF PARTIES Claimant Laura Matthews, hereinafter referred to as "Claimant": John L. Van Home, III, Esq., Reeve & Van Home, Englewood, NJ. Respondents PNC Inves

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-06483 Wendy Ellison, (Claimant) vs. First Citizens Investor Services, (Respondent) ATTORNEYS: For Claimant appeared Romaine Gardner, Esq., from Lincoln Square Legal Services, Inc., and Fordham University School of Law, New York, NY. For Respondent appeared Gary J. Rickner, Esq., of the firm Ward & Smith, P.A., New Bern, NC. NATURE OF DISPUTE: Customer vs. Member DATE FILED: December

NASD DISPUTE RESOLUTION AWARD , NASD DISPUTE RESOLUTION CASE: 06-02903 Edward D. Jones & Co., L.P., (Claimant) vs. James A. Valis, (Respondent) ATTORNEYS: " ~ ~ ~ ~ " ~~ For Claimant appeared Christopher A. Pickett, Esq., of the firm Goldberg Wehrle, LLC, St. Louis, MO. Respondent appeared pro se, Worchester, MA. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: June 15, 2006 CASE SUMMARY: Claimant alleged that Respo

N.A.S.D. AWARD NATIOKAL ASSOCIATION 07 SXCORITXES OKALBRS In che Matter of the Arbitration Between Same of Claimants Douglas T. and Annette M. Peterson 92-00761 Shearson Lehman Brothers, Inc. RBPMS8MTATION For Claimants Douglas T. and Annette M. Peterson ("Claimants") : Janes R. Adams, Esq., of Frost & Jacobs. For Respondent Shearson Lehman Brothers, Inc. (" Shearson ">: Thomas M. Knepper, Esq. of Neal Gerber et al. CAS f fHTORKATIOft

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Sylvia Lupkin CASE #92-00760 Name of Respondents PaineWebber Incorporated Stuart Lederman REPRESENTATION For Claimant Sylvia Lupkin: Richard C. Hochman. Esq. For Respondents PaineWebber. Inc. and Stuart Lederman: Paul G. Thomas. Esq. CASE INFORMATION Statement of Claim filed: March 4, 1992. Claimant's Submission Agr

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Ameritrade, Inc., (Claimant) vs. Paul Cillis, (Respondent) Case Number: 99-03084 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Ameritrade, Inc., hereinafter referred to as "Claimant": James J. Vihstadt, Esq., Regulatory Counsel, Ameritrade, Inc., Bellevue, NE. Previously represented by: Patrick B. Griffin, Esq., Kutak Rock. Omaha, NE. Respondent, Pau