Award NASD Dispute Resolution In the Matter of the Arbitration Between: Jeanne Van Order, Claimant v. Securities America, Inc. and Michael S. Bagocus, Respondents Case Number: 05-05540 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Ryan K. Bakhtiari, Esq. Aidikoff, Uhl & Bakhtiari Beverly Hills, California For Respondents: Steven J. Joffe, Esq.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: The Tanya Martino Trust DAD 4/18/97, Claimant v. A.G. Edwards & Sons, Inc., Robert W. Burns, and John J. Humphrey, Respondents Case Number: 05-01685 Hearing Site: Los Angeles. California Nature of the Dispute: Customer v. Member and Associated Persons REPRESENTATION OF PARTIES For Claimant: Jeff D. Ferentz, Esq. Nationwide Securities Arbitration Services, Inc. Newport Be

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Bernard Greenapple, individually and on behalf of the Bernard Greenapple IRA DWR Retirement Account #1 and Bernard Greenapple IRA DWR Retirement Account #2; Min Greenapple, individually and on behalf of the Min Greenapple IRA DWR Retirement Account; Greenapple Revocable Trust 3/21/90 #1; and Greenapple Revocable Trust 3/21/90 #2, Claimants v. Morgan Stanley DW Inc.; Noha M. A

Award NASD Dispute Resolution COPY In the Matter of the Arbitration Between: John G. and Helen M. Carlson, Claimants v. Citigroup Global Markets, Inc. and Austin N. Heberger, Jr., Respondents Case Number: 04-03476 Hearing Site: Los Angeles, California Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES For Claimants: John G. Carlson In Propria Persona and as Personal Representative for Helen M. Carl

Award NASD Dispute Resolution In the Matter of the Arbitration Between: First Union Securities, Inc., (Claimant) vs. Frederick E. Palmer, (Respondent) Case Number: 01-03211 Hearing Site: Boston, Massachusetts REPRESENTATION OF PARTIES Claimant, First Union Securities, Inc., hereinafter referred to as "Claimant": Diane C. Fischer, Esq., Kane & Fischer, Ltd., Chicago, IL. Previously represented by: Renan I. Sugarman, Esq., Senior Vice President and Assist

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Dr. Jean H. Savage, Claimant v. Morgan Stanley DW Inc., Martin W. Pernoll, James F. Burke, Nick T. Garris, Jr., and Orlo B. Elfes, III, Respondents Martin W. Pernoll, Cross-Claimant v. Morgan Stanley DW Inc., Cross-Respondent Case Number: 02-07676 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member and Associated Persons Associated Person v. Me

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Nane of Claimant(s) Tennant Fund Managers Int Ltd Refco Securities, Inc. Case No. 90-00220 Heard before the members of the Arbitration Panel: Robert Herschraann, Esq. Public Marina Shank-Klein, P.A. Public Penny N. Miller Industry Claimant, Tennant Fund Managers Int., Ltd. ("Tennant"), was represented by Jeffrey S. Rosen, Esq., of DeMartino

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant/si Peter & Rosalyn Paul 90-00217 Name of Respondent(si Stifel, Nicholaus & Co., Inc. I. M. Simon & Conpany Joseph Lantz Nancy Miller Rowland, Simon & Co., Heard before: Name Public/Industry Public / Chair_ Public Industry This matter was initiated by a Statement of Claim filed with the National Assoc

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Corinne Balzac Claimant ) vs. ) AWARD Smith Barney Harris Upham ) & Company, Inc. ) Chris Brown Respondents ) CASE NO. 90-00219 SUMMARY OF ISSUES Claimant alleged Respondents failed to follow her instructions with respect to trading of puts and calls. Respondents denied Claimant's allegations, and denied liability for any of Claimant's losses. Respond

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Norman Bates Margaret Bates vs. Jeff Wells Claimants Respondent ) ) AWARD ) NASD NO. 90-00212 .) SUMMARY OF ISSUES This case was filed with the National Association of Securities Dealers, inc. ("NASD") on January 16, 1990. Claimants alleged failure to execute sale of 1000 shares of Emerald Mortgage Investment Corporate Securities. ~*