Award NASD Dispute Resolution In the Matter of the Arbitration Between: Michael Julian (Claimant) vs. Columbus Circle Investors (Respondent) Case Number: 05-06500 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Non-Member. REPRESENTATION OF PARTIES Claimant Michael Julian hereinafter referred to as "Claimant": William J. Foster, IV, Esq., McMillan, Constabile, Maker & Perone LLP, Larchmont, NY. Respondent Columbus Circl

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Judith M. Tinker (Claimant) vs. Anthony W. Phillips (Respondent) Case Number: 05-06653 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Associated Person. REPRESENTATION OF PARTIES Claimant Judith M. Tinker hereinafter referred to as "Claimant": appeared pro se. Respondent Anthony W. Phillips hereinafter referred to as "Respondent": Sameer Rastogi, Esq., Sich

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 06-01568 Randall E. Friberg, (Claimant) vs. Morgan Stanley DW, Inc. and James F. Jebbia, (Respondents) ATTORNEYS: Claimant appeared pro se, Cotton, CA. For Respondents appeared in-house counsel Helens Jepson, Esq., San Francisco, CA. NATURE OF DISPUTE: Customer v. Member and Associated Person DATE FILED: March 23, 2006 CASE SUMMARY: Claimant alleged that Respondents negligently handled

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Richard F. Meier (Claimant) vs. Alliance Capital Management Holding, LP, Alliance Capital Management Corporation, Alliance Bernstein Investment Research, and Alliance Capital Management, L.P. (Respondents) Case Number: 04-07633 Hearing Site: Newark, New Jersey Nature of the Dispute: Associated Person vs. Member and Non-Members. REPRESENTATION OF PARTIES Claimant Richard F. Meier

Modified Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Marian Kamath and Sharrel Kamath v. Joanne V. Graham and Merrill Lynch, Pierce, Fenner & Smith Inc. Case Number: 03-08353 Hearing Site: New York, New York Nature of Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES Claimants Marian Kamath ("M. Kamath") and Sharrel Kamath ("S. Kamath") hereinafter collectively referred to as "Claiman

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 06-01562 Ollie Lee Myrick, (Claimant) vs. Ameritrade, Inc. a/k/a Advanced Clearing, Inc. (Respondent) ATTORNEYS: Claimant appeared pro se, Kihei, HI. For Respondent appeared in-house counsel, James J. Vihstadt, Esq., Bellevue, NE. NATURE OF DISPUTE: Customer vs. Member DATE FILED: March 23, 2006 CASE SUMMARY: Claimant alleged that Respondent placed him in investments that were unsui

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Scott and Bruna Dinetz, Scott and Bruna Dinetz Pension Account, (Claimants) v. Weatherly Securities Corp., William Odenthal, Livermore Capital, Robert Grabeowetski, Pelinor Group, Inc., David Gorham, Pellinore Securities Corp., and Richard Messina (Respondents) Case Number: 01-04495 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Associated Persons, Non-Member,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Tucker Anthony Incorporated 93-04995 Name of Respondent Union Planters Inv Bankers Group,Inc. RKPRFSENTATION For Claimant, Lloyd S. Clareman, Esq., New York, New York. For Respondent, Robert L. Crawford, Esq. of McDonnell Boyd, Memphis, Tennessee. CASE INFORMATION Statement of Claim filed on December 2. 1993. Claima

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Peter and Paticia Coffin Casetf vs. 93-04991 Name of Respondents Peek Equity Services Inc. Robert L. Peek REPRESENTATION For Claimants, Peter and Patricia Coffin ("Claimants"), Alfred Rubega, Esq., located in Concord, New Hampshire. For Respondents, Robert L. Peek ("Peek") and Peek Equity Services (collectively, "R

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of John H. St. John and Astrid St. John and 93-04990 of Respondents Edward D. Jones & Company and EDJ Holding Company HFJPRRSKNTATION OF PARTIES John H. St. John and Astrid St. John ("Claimants") were represented by Mike Griffin, Esq., Griffin & Whitten, Denton, Texas. Edward D. Jones & Company and EDJ Holding Company ("Responden