Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant First Montauk Securities Corp. Names of Respondents Neil Paul Constantine Carusos Names of Third Party Respondents Gregory Neal Long David Myron McCoy Case No. 99-04000 Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For First Montauk Securities Corp. ("Montauk") hereinafter referred to as "Claimant": Jon A. Jacobson, Esq

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Gerald Hallaren vs. Case Number: 05-03176 Hearing Site: Denver, Colorado Name of Respondent First Albany Capital, Inc. NATURE OF THE DISPUTE Associated Person vs. Member REPRESENTATION OF PARTIES Gerald Hallaren ("Claimant") was represented by Robert J. Truhlar, Esq., Truhlar & Truhlar, LLP, Centennial, Colorado. First Albany Capital, Inc. ("

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant / Counter-Respondent Charles P. Hammersmith, Jr. vs. Names of Respondents / Counter-Claimants / Third-Party Claimants Leerink Swann & Company, Jeffrey Alan Leerink, Case Number: 04-02773 Timothy Daniel Skelly, and Hearing Site: Chicago, Illinois Peter Francis Flynn vs. Names of Third-Party Respondents Mesirow Financial, Inc. and John A

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Garvin C. Pearce and Linda B. Pearce vs. Case Number: 05-03963 Hearing Site: Dallas, Texas Names of Respondents Merrill Lynch, Pierce, Fenner & Smith Inc., Joseph A. Girgenti, and Suzanne Cline Boyd-Chapman NATURE OF THE DISPUTE Customers vs. Member and Associated Persons REPRESENTATION OF PARTIES Garvin C. Pearce and Linda B. Pe

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Garrison Clarke vs. Case Number: 03-03747 Hearing Site: Chicago, Illinois Names of Respondents Prudential Equity Group, LLC and Bonnie Schultz NATURE OF THE DISPUTE Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Garrison Clarke ("Claimant") was represented by Barbara A. Mallon, Esq., Mallon & Johnson, PC, Chica

AWARD NASD Dispute Resolution in the Matter of the Arbitration Between: Name of Claimant Robert W. Baird & Co., Inc. vs - Case Number 03-03671 Hearing Site: Indianapolis, Indiana Name of Respondent Douglas E. Snepler NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES Robert W. Baird & Co., Inc. ("Baird" or "Claimant") was represented by Moira K. Moran, Esq., Robert W, Baird & Co., Inc., Milwaukee, Wiscon

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Eloise Gretz vs . First of Philadelphia Investment and Andrew Dougherty Between Claimant Group, Respondents X X X X X X X X X X X • x CASE NO. 90-00499 AWARD CASE SUMMARY Claimant, Eloise Gretz ("Gretz"), alleged that the • Respondents, Andrew Dougherty ("Dougherty") and First of Philadelph

PUBLIC N.A.S.D. AWMOD NATIONAL ASSOCIATION OF SBCDRITTES DEALERS ~ In the Matter of the Arbitration Between Arbitration National Association of Securities Dealers. Inc. NASD Financial Center 33 Whitehall Street New Vork. N.Y. 100O4 FAX (212} 858-4389 Marvin M. Tanaroff , individually and. as Trustee 90-00497 Merrill Lynch Pierce Fanner & Smith Inc Robert F. Sui For Claimant: Anthony V. Trogan, Esq. of Weianan, Ttogan, Young &

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Kevin and Anne Shaha Claimant(s) vs. 90-00496 J.C. Bradford & Co. and Rick Lutz Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Kevin and Anne Shaha alleged that Respondent(s) J.C. Bradford & Co. and Rick Lutz failed to execute a sell order by Claimant in response to a margin call. Respondent J.C. Bradford & Co. denied t

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. AWARD #90-00493 DANIEL & SHARON TRIPODI CLAIMANTS V. O.H. BLAIR & CO., INC. RESPONDENT CASE SUMMARY The Statement of Claim was filed on February 15, 1990. Claimants, Daniel and Sharon Tripodi alleged that their account: was mishandled by Respondent, D.H. Blair & Co., Inc., in that their mailing address was changed without their permission -and. this resulted in misdelivery of reports a