N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant ^^^™" ~~ ~" ^f ' A. Peggy Pearson 92-01303 Name of Respondent A.G. Edwards & Sons. Inc. REPRESENTATION For Claimant: A. Peggy Pearson ("Pearson") Claude Walker, Esq. of Rand and Walker. For Respondent: A. G. Edwards and Sons, Inc. ("A.G. Edwards") William Port, Esq. of A. G. Edwards. CASE INFORMATION Statement of Cl

Revised Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the Claimant " ' Case Numhgr 03-00200 Barbara Alexander Baroody, IRA Name of ttip T?espnnflenl Hearing Sife - Richmond, Virginia Davenport & Company, LLC Nature of the Dispute: Customer vs. Member. RFPRFSENTATTDN QF Claimant Barbara Alexander Baroody, IRA, hereinafter referred to as "Claimant", was not represented by counsel. Respondent Davenport

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Clarence E. Rolfe, LaVon M. Rolfe, and Tamra L. Stafford vs. Names of Respondents Metlife Securities, Inc., Jerry L. McKimmy, and Professional Financial Consultants Case Number. 06-01342 Hearing Site: Detroit, Michigan NATURE OF THE DISPUTE Customers vs. Member, Associated Person, and Non Member REPRESENTATION OF PARTIES Clarence E.

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Joshua Galloway, (Claimant) vs. Datek Online Brokerage Services Corp. (Respondent) Case Number: 99-003006 Hearing Site Chicago, Illinois REPRESENTATION OF PARTIES Claimant, Joshua Calloway (Mr. Calloway): Craig R. Shagin, Esq. and Dory L. Sater, Esq. Shagin & Anstine LLC, Harrisburg, Pennsylvania. Respondent, Datek Online Brokerage Services Corp. (Datek): G Thomas Fleming III, Esq. an

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Robin Field vs. Case Number: 06-00891 Hearing Site: Kansas City, Missouri Name of Respondent Charles Schwab & Co., Inc. NATURE OF THE DISPUTE Customer vs. Member Firm REPRESENTATION OF PARTIES Robin Field ("Field" or "Claimant") was represented by Matthew R. Crimmins, Esq., Walters, Bender, Strohbegan & Vaughn, Kansas City, Missouri. Charles

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant BBPPS, LP vs. Case Number: 06-00519 Hearing Site: Houston, Texas Names of Respondents Goldman, Sachs and Company, Robert Joseph Mark, Jr., William David Leven, LM Investment Capital, LP, LM Capital Management, LP, and LM Capital Management, LLC NATURE OF THE DISPUTE Customer vs. Member, Associated Persons, and Non-Members REPRESENTATI

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants William and Jacqueline Crosby, Individually and as Settlors and Trustees of the William & Jacqueline Crosby Living Trust vs. Case Number: 05-04412 Hearing Site: Dallas, Texas Names of Respondents RBC Dain Rauscher and John F. "Jack" Cashman NATURE OF THE DISPUTE Customers vs. Member Firm and Associated Person REPRESENTATION OF PA

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Michael and Jeannette Paul vs. Name of Respondent Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. Case Number: 03-02737 Hearing Site: Pittsburgh, Pennsylvania NATURE OF THE DISPUTE Customers vs. Member REPRESENTATION OF PARTIES Michael and Jeannette Paul ("Claimants") were represented by Robert B. Sommer, Esq., Hergenroe

Award NASD Dispute Resolution In the Matter of the Arbitration Between: A.G. Edwards & Sons, Inc. (Claimant) vs. Dr. Frank Michael Lobacz (Respondent) Case Number: 05-01544 Hearing Site: New York, New York Nature of the Dispute: Member vs. Customer REPRESENTATION OF PARTIES Claimant A.G. Edwards & Sons, Inc. ("Claimant"): Brent J. Burtin, Esq., In-House Counsel, A.G. Edwards & Sons, Inc., St. Louis, MO. Respondent Dr. Frank Michael Lobacz ("Responde

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of thft Claimant Guyon W. Turner Names nf the Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. Robert Arthur Johnson Case Number: 05-01485 Hearing Site- Philadelphia, PA Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant, Guyon W. Turner, hereinafter referred to as "Claimant", was represented by