Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant/Counter-Respondent Case Number. 05-03278 J. Stephanie Venza, individually, and As Executrix of The Estate of John L. Venza Name of the Respondents/Counter-Claimant Hearing Site: Dallas, Texas A.G. Edwards & Sons, Inc., and Perry J. Lyons NATURE OF THE DISPUTE Public Customer v. Member Firm and Associated Person Member Firm vs. Public Customer REP

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant H&R Block Financial Advisors, Inc. v. 05-02600 Minneapolis, Minnesota Respondent Jason Bo Beckman NATURE OF DISPUTE Member Firm v. Associated Person REPRESENTATION OF PARTIES H&R Block Financial Advisors, Inc. ("Claimant") was represented by Kathleen A. Dedenbach, Esq., of H&R Block Financial Advisors, Inc., until March 22,2006, afterwhich, Claimant w

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant David D. Barrett, individually and on behalf of his individual retirement accounts v. 04-07074 Denver, Colorado Respondents Investment Management Consultants, LTD Charles Schwab & Company, Inc., and Richard L. Behr, Jr. and Cross-Claimant Charles Schwab & Company, Inc. v. Cross-Respondents Investment Management Consultants, LTD and Ric

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Charles Cuozzo, Jr. (Claimant) vs. Prudential Investment Management Services, LLC and Prudential Insurance Company of America (Respondents) Case Number: 05-04620 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Members. REPRESENTATION OF PARTIES Claimant Charles Cuozzo, Jr. hereinafter referred to as "Claimant": Kevin P. Conway, Esq., Conway & Conway

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 05-03104 Steven Kent Dear, Sr. Names of the Respondents Hearing Site: Jackson, Mississippi Mass Mutual Life Insurance Company Mass Mutual Life Investors Services, Inc. Steven Collins Nature of the Dispute: Associated Person v. Member, Non-Member and Associated Person. REPRESENTATION OF PARTIES For Steven Kent Dear, Sr., hereinafter r

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 For Kelley

Award NASD Dispute Resolution In the Matter of the Arbitration Between: UBS Financial Services Inc., Claimant v. Jack T. Noe and Janet M. Robinson, Respondents Jack T. Noe and Janet M. Robinson, Counter-Claimants v. UBS Financial Services inc., Counter-Respondent Case Number: 05-01496 Hearing Site: Los Angeles, California Nature of the Dispute: Member v. Associated Persons Associated Persons v. Member REPRESENTATION OF PARTIES For Claimant/C

Stipulated Award NASD DISPUTE RESOLUTION In the Matter of the Arbitration Between: § § CHARLOTTE DIANNE McKINLEY, THE § LOUTTICIA T. KALIL REVOCABLE § LIVING TRUST a/k/a THE LOUTTICIA § T, KALIL TRUST U/A DATED 3/21/1997, § Claimants, § § NASD CASE NO. 05-00954 v- § § MERRILL LYNCH, PIERCE, § FENNER & SMITH INCORPORATED, § GENE RANKIN and § MICHAEL A. TRAMONTANO, § Respondents. § NATURE OF THE DISPUTE Public Custo

NASD DISPUTE RESOLUTION MODIFIED AWARD NASD DISPUTE RESOLUTION r CASE: 06-01081 Janney Montgomery Scott, LLC, (Claimant) vs. William Todd, (Respondent) ATTORNEYS: " ~~ For Claimant appeared in-house counsel James Creel, Esq., Philadelphia, PA. Respondent did not submit an Answer to the Statement of Claim. NATURE OF DISPUTE; 'Member v. Associated Person DATE FILED; March 2, 2006 CASE SUMMARY: Claimant alleged that Respondent breached a contract b

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-00862 John A. Zwack Names of the Respondents Hearing Site: Atlanta, Georgia SunTrust Capital Markets, Inc. David Eidson Philip Marshall Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For John A. Zwack, hereinafter referred to as "Claimant": William S. Myers, Esq., Duluth, Georgia. For S