Award NASD Dispute Resolution In the Matter of the Arbitration Between: Milestone Financial Services, Inc. (Claimant) v. Ronald Siracusa (Respondent) Case Number: 05-05652 Hearing Site: New York, New York Nature of the Dispute: Member v. Associated Person REPRESENTATION OF PARTIES Claimant Milestone Financial Services, Inc. hereinafter referred to as "Claimant": Randy Scott Zefin, Esq., Randy Scott Zelin, P.C., Westbury, NY. Respondent Ronald Siracu

Award NASD Dispute Resolution In the Matter of the Arbitration Between: J.P. Turner and Company, LLC. (Claimant) v. Sean Mescall (Respondent) Case Number: 05-02740 Hearing Site: New York, New York Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant J.P. Turner and Company, LLC. ("Claimant"): Dianne Papierniak, Esq., In- House counsel, J.P. Turner and Company, LLC., Atlanta, Georgia. Respondent Sean Mescall ("Respon

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 01-02258 Thomas C. Florentine, claimant vs. Michael Halfon and Morgan Stanley Dean Witter, respondents. ATTORNEYS: Claimant appeared pro se, Tarrytown, NY. -For Respondents appeared Douglas F. Stone, Esq., in-house counsel, New York, NY. DATE FILED: May 2, 2001 CASE SUMMARY: Claimant alleged that respondents purchased shares of CMTN stock without his knowledge or authorization. Cl

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Peter Donohue (Claimant) vs. Prime Charter Ltd., Fahnestock & Co. Inc., Oppenheimer & Co., Inc., Steven Frank Schwartz, Maritsa Electra Varvitsiotes and Christopher Jon Brainard (Respondents) Case Number: 04-03197 Hearing Site: New York, New York Nature of Dispute: Customer vs. Members and Associated Persons REPRESENTATION OF PARTIES Claimant Peter Donohue herei

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Walter Edwin Moore, 111 and Case Number: 04-02504 Hearing Site: Troy, Michigan Respondents GunnAllen Financial, Inc., and Wesley G. Gardner NATURE OF DISPUTE Customer v. Member and Associated Person REPRESENTATION OF PARTIES Walter Edwin Moore, III ("Claimant") was represented by Anthony V. Trogan, Esq., and Lysa Postula-Stein, Esq., Anthony V. Trogan

„ NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 06-01144 Barry W. Hurff, IRA, Janice Hurff, IRA, and Matthew Hurff (Claimants) vs. Edward D. Jones & Co., LLP, (Respondent) ATTORNEYS: For Claimants appeared Adam M. Green, Esq., of the firm Anapol, Schwartz, Weiss, Cohan, Feidman & Smalley, P.C., Philadelphia, PA. For Respondent appeared Timothy M. Huskey, Esq., of the firm Greensfelder. Hemker & Gale, P.C., St. Louis, MO. NATURE OF

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Case Number: 04-04432 John L. Hannon Names of Respondents Hearing Site: News Orleans, Louisiana Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. JackB. Grubman Michael E. Dowell Robert D. Webb Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES * For John L. Hannon, hereinafter referred t

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Michael and Geraldine Clemente, Kristen Clemente, and Matthew Clemente (Claimants) vs. Merrill Lynch, Pierce, Fenner & Smith, Inc., Kevin Nohilly, and Gustav Fingado, IV (Respondents) Case Number: 04-00576 Hearing Site: Newark, New Jersey Nature of the Dispute: Customers vs. Member and Associated Persons REPRESENTATION OF PARTIES Claimants Michael and Geraldine Clemente, Joint A

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Richard Vehring and The Vivian Vehring Decedent Trust, Claimants v. IDS Life Insurance Company, American Express Financial Corporation n/k/a Ameriprise Financial, Inc., American Express Financial Advisors, Inc. n/k/a Ameriprise Financial Services, Inc. and Jason Gerald Knight, Respondents Case Number: 05-04997 Hearing Site: Phoenix, Arizona Nature of the Dispute: Customers v. Member

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 05-04208 William S. Schroeder Names of the Respondents Hearing Site: Boca Raton, Florida Legg Mason Wood Walker, Inc. Jeffrey Willis Durkee Nature of the Dispute: Associated Person v. Member and Associated Person. REPRESENTATION OF PARTIES For William S. Schroeder, hereinafter referred to as "Claimant": Susan H. Stern, Esq., Rothstein, R