AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Edith V. Burns vs. Name of Respondent Primerica Shareholder Services, Inc. Case Number: 05-04270 Hearing Site: Southfield, Michigan NATURE OF THE DISPUTE Customer vs. Non-Member REPRESENTATION OF PARTIES Edith V. Burns ("Claimant") was represented by Dayna Milbrand, Esq., Dayna Milbrand, PC, Mt. Clemens, Michigan. Primerica Shareholder Se

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant/Counter-Respondent The Allison-Williams Company vs. Name of Respondent/Counter-Claimant Stephen M. Vincent and Name of Third-Party Claimant Stephen M. Vincent vs. Names of Third-Party Respondents B&T, Inc. and Robert C. Tengdin Case Number: 05-03568 Hearing Site: Minneapolis, Minnesota NATURE OF THE DISPUTE Member vs. Associated P

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Jeff A. Catanzarite 93-01587 A.O. Edwards & Sons, Inc. C*38dffltnt Jeff A: Catanzarite ("Claima^ v.'Scott Macom, Attorney at Law. Respondent A, G. Edwards & Sons, Inc. ("Respondent") was represented by: Clay L. Grumke, Litigation Counsel for A.G. Edwards & Sons, Inc. CASE INFORMATION Statement of Claim filed on: May 3, 1993. Claimant's Subm

NA.S.D. AWARD NATWNAL ASJJCK3ATKW OFSKCUWnES DEALEES la tkt Matter of Ic * Co. Qpi mnc&ik at fi tate A C>an«|e, P.C., Cliagoi, BOnois. F.O. OiekiDm ft Go. nd Oukb Gnci at the 1995. Jotat SMBQMBC |tf Aoiwcr fihd by OK OftiMn A Co. ad OoUo Gtad'i 1, 1999. December 2,1993 far< ws(l) HUD HEW 93-01733 a «£ 2 Its pordawd 5,< *5 dues of Item Etanc add DOB & sfggant to cover ttet and Am* west later wa

NA&D. AWARD NATIONAL ASSOCIATION OP SECURITIES BEAUSBS, INC la rf» Matter rf ti» Arbitration Robert P. Cody 93-1654 Cbcbca Street Securities, Inc. Robert P. Cody ("Oabnaf) appeared gmst. Chelsea Street Securities, iac. ("RefpoKfeaf) did net appear at the hearing. The Statement of Claim wa* filed on or about April 27, 1993, Submission Agreement of Claimant wts signed on Aprfl2Cv 1993. Statement of Answer wu filed by Respondent on or about Septemb

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the. Claimant Case. Number 02-02474 Acument Securities, Inc. file/a Thomas F. White & Co., Inc. Name of the Respondent Hearing Site: Baltimore, MD Thomas J. Heffernan Nature of the Dispute: Terminated Member v. Associated Person. REPRESENTATION OF PARTTFS Claimant, Acument Securities, Inc. f/k/a Thomas F. White & Co., Inc., hereinafter referred to as "Claimant",

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Dorothy Nelsen-Gille and David A. Gille, Claimants v. Merrill Lynch, Pierce, Fenner and Smith, Inc., Stephen Adams and Robert Marcin, Respondents Case Number: 02-02456 Hearing Site: New York, New York REPRESENTATION OF PARTIES For Claimants: David Berman, Esq. David Berman, P.C. Morristown, New Jersey For Respondents: Daren A. Luma, Esq. Merrill Lynch Pierce F

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 01-06472 William D. Dailey, as Trustee of the William D. Dailey, D.M.D. Profit Sharing & Employee Pension Plan, and William D. Dailey, Individually Names of the Respondents Hearing Site: Atlanta, GA. UBS Paine Webber, Inc. William R. Lee, Jr. REPRESENTATION OF PARTIES For William D. Dailey, as Trustee of the William D. Dailey, D.M.

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Brian S. Atlas, Claimant Vs. Keaton Financial Services, Inc., William Warfield, and Bear Stearns Securities Corp., Respondents. Case Number: 99-02770 Hearing Site: Houston, Texas REPRESENTATION OF PARTIES Claimant, Brian S. Atlas, hereinafter referred to as "Claimant", initially represented by Richard A. Kraslow, of Richard A. Kraslow, P.C., Melville, N

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Den-Mat Corporation, Robert L. Ibsen and Noreen Freitas as trustees of the Ibsen Portfolio Trust, Robert L. Ibsen and Marcia M. Ibsen as trustees of the Ibsen Family Revocable Trust, Robert L. Ibsen, an individual, Cathy Reed (Kellogg), an individual, and Elizabeth Karleskint, an individual, Claimants v. Bear Stearns & Co., Inc., Peter S. Zyhailo, Respondents Case Number: 01-05985 Heari