N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between ) Janes A. Paradise ) ) Case NO. 89-02796 Raymond, James & Associates, Inc. } John A. Valldejuli ) William H. Hermanns ) ) Heard before the Arbitrator: John E. Cullffn, Esq. Public Claimant, Janes A. Paradise ("Paradise"), was represented by Adrian R. Castro, Esq. of the Law Offices of Adrian R. Castro, Esq. Respondent, Raymond Janes &

Arbitration N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS "In"the Matter of the Arbitration Between Name of r]aimant|s| Thomas Hunziker & Mary Eagan National Association of Securities Deators. Inc. Suite 1680 Three First National Plaza Chicago. II 60602 1312) 899-4440 83^2794 Piper, Jaffray & Hopwood, Inc. Ben Marks This claim was initiated by a Statement of Claim filed with the National Association of Securit

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between PI IHI IP Name of Claimants David Smith. Norma Smith, David Smith as Custodian for David E. Smith Basic Plan (an IRA Account Plan) and David and Norma Smith, on behalf of David & Norma Smith CASE #89-02790 Pension Plan Name of Respondents Merrill Lynch Pierce Fenner & Smith Inc David Matta REPRESENTATION For Claimant: Maurice A. Nernber

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Thomas C. Canavan, Individually and as Beneficiary of Thomas C. Canavan, IRA; Natalie J. Canavan, Individually and as Trustee of the Thomas C. Canavan 1993 Childrens' Trust UA DTD 11/15/93 FBO Kelly L. Canavan and FBO Mary Ann Canavan; Kelly Lynne Canavan, Individually and as Trustee of the Canavan Family 1997 Insurance Trust; and Mary Ann Canavan

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Wells Fargo Investments, LLC vs. Case Number: 06-00217 Hearing Site: Detroit, Michigan Name of Respondent Stephen C. Hayward NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES Wells Fargo Investments, LLC ("Claimant") was represented by Diane C. Fischer, Esq. and Stuart Primack, Esq., Kane & Fischer, Ltd., Chicago, Illino

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Scottrade, Inc. vs. Case Number: 06-02536 Hearing Site: Dallas, Texas Name of Respondent Ozra Esfandiari NATURE OF THE DISPUTE Member vs. Customer REPRESENTATION OF PARTIES Scottrade, Inc. ("Claimant") was represented by Thomas L. Azar, Esq., Thompson Coburn, LLP, St. Louis, Missouri. Ozra Esfandiari ("Respondent") did not appear. CASE IN

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) •\ Patricia Ross VS. Dean Witter Reynolds, Inc. i Claimant/ ) Counter- ) Respondent ) ) Respondent/ ) Counter- ) Claimant ) AWARD CASE NO. 89-02786 SUMMARY OF ISSUES This case was filed on October 10, 1989. Claimant/Counterrespondent Patricia Ross ("ROSS") alleged that Respondent/Counterclaimant Dean Witter Reynolds, In

N.A.S.D. AWARD NATIONAL .ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between f Name of g.IgM™?"*' ) Michael j; Denisco ) AWARD 89-02785 Shearson Lehman Button, Inc. David Hale Claimant, Michael J. Denisco alleged that Respondents gave inside information on and solicited an options position in a stock that was on the firm's restricted list and failed to follow Claimant-.'s instructions in handling the trade.

NATIONAL ASSOCIATION OF SECURITIES DEALERS Tn the Matter of the Arbitration Between Istvan Boksay, M.D. Claimant(s) ARBITRATION vs. AWARD 89-02781 Robyns Capital Corp. and Arnold Levy Respondent(s) NOTICE OF CASE SUMMARY Claimant(s) Istvan Boksay, M.D. alleged that Respondent(s) Robyns Capital Corp. and Arnold Levy misrepresented the return to be received on an investment strategy recommended by Respondents and failed to retu

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: GKN Securities Corp., (Claimant) vs. Vincent Caraccioio, (Respondent) Case Number: 99-02850 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, GKN Securities Corp., hereinafter referred to as "Claimant": David W. Schmidt, Esq., Lubiner & Schmidt, Kenilworth, NJ. Previously represented by: Herbert O. Sontz, Esq., General Counsel, GKN Securities Corp., New York