-AMSOL Arbitration National Association of Securities Dealers, Inc. N.A.S.D. AWARD One East Broward Boulevard Suite 1000 Ft. Lauderdale. Florida 33301 NATIONAL ASSOCIATION OF SECURITIES DEMURS (3 ° 5) 522 ' 7391 In the Matter of the Arbitration Between ) ) NamQ of _fp*invmt(s) ) ) Thomson McKinnon Securities, Inc. ) ) ) ) Case No. 88-00234 ) Name of Respondent(s) ) ) Kerrean Salter ) )

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Bobby and Joyce Whitt Claimants ) and } A W A R D ) 88-225 Dean Witter Reynolds-. Inc. and Donald C. Dickson ) Respondents ) On Friday, April 28, 1989 in Nashville, Tennessee, the undersigned arbitrators heard the controversy between the parties as set forth in submissions to arbitration signed on January 20, 1988 by Claimants Bobby and Joyce Wh

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Robert E. Colwell Claimant(s) vs. 88-00224 Dean Witter Reynolds, Inc., Steven Behrens and Jerome K. Rumps Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Robert E. Colwell alleged that Respondent(s) Dean Witter Reynolds, Inc./ Steven Behrens and Jerome K. Rumps failed to execute a liquidation. Respondent(s) maintain that the

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between , • •• Thomas D. Clark Custodian for Kari Michelle Clark i Claimant vs. Case #88-00212 Award Waddell & Reed, Inc. Respondent The undersigned, being the Arbitrator selected to review and determine a matter in controversy between the above-mentioned Claimant and Respondent, set forth in submissions to arbitration signed by parties on January 18, 1

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. I In the Matter of the Arbitration Between ) Wedbush Securities Claimant(s) ) vs. ) CASE NO. 88-00200 Soleil Tabaie Respondent(s) ) Heard Before the Arbitration Panel: Aaron Fenton Edmund A. Hamburger Mitchell Green SUMMARY OF ISSUES The claim was filed January 22, 1988. The Claimant alleged that Respondent open an account with Claimant and signed a margin agreement. Claimant alleged t

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 01-02721 Robert F. Gallagher and Margaret K. Gallagher, claimants vs. Prudential Securities Incorporated and Richard Woollacott, respondents. ATTORNEYS: Claimants appeared pro se. For Respondents appeared Marcia Williams, Esq., in-house counsel, New York, NY. DATE FILED: May 23, 2001 CASE SUMMARY: Claimant alleged that respondents failed to execute a sell order in a timely manner.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-01362 Irene Burke Names of Respondents Hearing Site: Boca Raton, Florida Signator Investors, Inc. f/k/a John Hancock Distributors, Inc. Princor Financial Service Corporation National Planning Corporation Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Irene Burke, hereinafter referred to as "Claimant": Gr

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-00947 Charles Schwab & Co., Inc. Names of the Respondents Hearing Site: Raleigh, North Carolina Raymond, James & Associates, Inc. John K. Bahr Nature of the Dispute: Member v. Member and Associated Person REPRESENTATION OF PARTIES For Charles Schwab & Co, Inc., hereinafter referred to as "Claimant": Douglas R. Jennings, Esq., Carlile

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 05-03617 David G. and Deborah H. Grove Names of the Respondents Hearing Site: Baltimore, Maryland Merrill Lynch, Pierce, Fenner & Smith Anita M. Dungan Kent V. Pearce Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For David G. and Deborah H. Grove, hereinafter referred to as "Clai

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 05-03457 Karen Maciag Names of the Respondents Hearing Site: Boca Raton, Florida Morgan Stanley DW Inc. William Messner Name of the Third Party Respondent Lynn Messner Nature of the Dispute: Customer vs. Member and Associated Person vs. Customer. REPRESENTATION OF PARTIES For Karen Maciag, hereinafter referred to as "Claim