Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 05-03136 Jewel Cody Drinkard Names of Respondents Hearing Site: Charlotte, North Carolina AXA Advisors, LLC Kelly Gene Burke Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Jewel Cody Drinkard, hereinafter referred to as "Claimant": David Scott Drinkard, Sr., Charlotte, North Carolina.

Amended Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 05-01878 Kelley Rand The Kelley Rand IRA The Kelley H. Rand Roth IRA and Pink Peony, Inc. Names of the Respondents Hearing Site: New Orleans, Louisiana Chicago Investment Group, L.L.C. George E. Reilly and Michael A. Kalfa Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Fo

Stipulated Award NASD Dispute Resolution C. Warren Jenkins v. Legacy Financial Services, Inc. and Joseph R. Karsner, IV Case Number: 05-00940 Hearing Site: Washington, DC Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant, C. Warren Jenkins, hereinafter referred to as "Claimant", was represented by William B. Young, Jr., Esq., Hooper & Weiss, L.L.C., Orlando, Florida. Respondents Joseph R. Karsner, I

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Shirley A. Locklair Names of the Respondents Legacy Financial Services, Inc. Joseph Karsner Case Number: 04-06796 Hearing Site: Raleigh, North Carolina Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Shirley A. Locklair, hereinafter referred to as "Claimant": William B. Young, Esq., H

Stipulated Award NASD In the Matter of the Arbitration Between: Names of the Claimants Case Number: 01-03141 Richard D. Koehler, Jr. Echo Financial, L.C., a Florida corporation Hearing Site: Tampa, Florida vs. Names of the Respondents FSC Securities Corporation, Richard Husarek, Bernie Markowitz, Douglas Beaudoin, Reed N. Lengel, Phil Freeman HI and Joseph Catania Names of the Cross-Claimants, Counter-Claimants, and Third Party Claimants Ric

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant John W. Mehlhouse and Margaret E. Mehlhouse and 00-00949 Minneapolis, Minnesota Name of Respondent U.S. Bancorp Piper Jaffray, Inc. REPRESENTATION OF PARTIES John W. Mehlhouse and Margaret E. Mehlhouse ("Claimants") were represented by Donald H. Walser, Esq., Kraft, Walser, Hettig & Honsey, PLLP, Hutchinson, Minnesota. U.S. Bancorp Piper Jaffray

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-04725 Atlantic Custodians, SA Name of the Respondent Hearing Site: Boca Raton, Florida ABN AMRO Incorporated Name of the Third Party Respondent Segoes Securities, Ltd. Nature of the Dispute: Customer vs. Member vs. Non-Member. REPRESENTATION OF PARTIES For Atlantic Custodians, SA, hereinafter referred to as "Claimant": Philip J. Snyde

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant John Glasgow Names of the Respondents Continental Broker-Dealer Corp. GIT Securities Corporation Thomas Joseph Heaphy, Jr. Mark Agres Michael Bernard Barrett Christian Levon Nigohossian Brian Fred Zucker Case Number: 02-02170 Hearing Site: Little Rock, Arkansas Nature of the Dispute: Customer vs. Member and Associated Person. REPR

N.A.S.D AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Prudential Securities, Inc. 94-01987 Name oCRespondent Jeffery Schimm REPRESENTATTQN Claimant Prudential Securities, Inc. ("PSI") was represented at the hearing by Chris Freeze Esq of PSI, of New York, New York. Respondent Jeffery Schimm ("Schimm") appeared at the hearing pro se. CASE INFORMATION The Statement of Claim w

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Ralph E. Johnson, and Ramona L. Johnson, Claimants, v. No. 94-01983 Mario lacoviello, and Bruce Biddick, Respondents. REPRESENTATION OF PARTIES Claimants Ralph E. Johnson, and Ramona L. Johnson ("Claimants") appeared on their own behalf. Respondents Mario lacoviello, and Bruce Biddick appeared on their own behalf. CASE INFORMATION Claimant's Statement of Claim was filed on or