AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant . ' David L. Freibert i p . v. 04-00168 Louisville, Kentucky Respondents Merrill Lynch Pierce Fenner & Smith, Inc., and Richard Scott Park Nature of Dispute: Customer v. Member andAssociated Person . REPRESENTATION OF PARTIES David L, Freibert ("Claimant") was represented by Wesley A. Gersh, Esq., of Morris, Garlove, \Vaterman, & Johnson, PLLC, Lo

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 04-00161 Rino and Shirley Borean Names of the Respondents Hearing Site: Tampa, FL Lincoln National Life Insurance Company Darrell G. Frazier Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Rino and Shirley Borean, hereinafter collectively referred to as "Claimants": Thomas J. B

Stipulated Award NASD In the Matter of the Arbitration Between: Name of Claimant James and Debra Cole Names of Respondents Salomon Smith Barney, Inc. Robert E. McMann Case Number: 02-00969 Hearing Site: Orlando, Florida REPRESENTATION OF PARTIES For James and Debra Cole ("Claimant"): Rodney L. Russell, Esq., Russell Law Offices, P.A., Orlando, Florida. For Salomon Smith Barney ("SSB") and Robert E. McMann ("McMann"), collectively referre

STIPULATED AWARD NASD DISPUTE RESOLUTION In the Matter of the Arbitration Between: Glenn McNeill, ("Claimant") vs. A.G. Edwards & Sons, Inc., and Cormac Niall Maghan (Respondents) Case Number 01-02245 Hearing Site: New York, New York REPRESENTATION OF THE PARTIES For Claimant Glenn McNeill ("Claimant"), George L. Mahr, HI, George L. Mahr, P.C., Madison, New Jersey For Respondents A.G. Edwards & Sons, Inc., ("Edwards") and Cormac Niall Maughan ("

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Kraig W. Killough v. Olde Discount Corporation d/b/a/ Olde Discount Brokers Case Number: 00-00815 Hearing Site: Houston, Texas REPRESENTATION OF PARTIES Kraig W. Killough, hereinafter referred to as "Claimant," was represented by Craig J. Snyder, Esq. located in Stoudsburg, Pennsylvania. Olde Discount Corporation d/b/a/ Olde Discount Brokers, hereinafter referred to as

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 96-05408 Margalee Magoon, claimant v. The Ohio Company, respondent. ATTORNEYS: For Claimant Claimant appeared pro se - Lansing, ML For Respondent appeared Gregory J. Betchkal - Columbus, OH. DATE FILED: 12/6/96, CASE SUMMARY: Claimant alleged unsuitability and fraud in the management an investment in a Phoenix Leasing limited partnership. Claim Data A

AWARD NASD REGULATION. INC. In the matter of the Arbitration Between Name of Claimant Ronald G. Calvarese v. Name of Respondents Landmark International Equities, Inc., Marlow Lloyd Gish, Edward Peter O'Grady, Yuri Aulov, named herein as Yuri Yulov, Craig Steven Redding, Eric J. Aronson, William Nunziato, Martin Drayer, Howard Berger and Paul Italia Arbitration No. 96-05407 REPRESENTATION For Claimant: For Respondents:

ARBITRATION AWARD NASD REGULATION, INC., OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Name of Claimants Albert M. and Camilla A. Flamini 96-05406 Name of Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc.; Charles Douthit REPRESENTATION For Claimants: Albert M. Flamini and Camilla A. Flamini ("Flamini") were represented by Robert W. Edler, Esq. ofThiedmann & Edler, located in Chicago, Illinois. For Responden

OCT.17.1998 5:17PM NfiSD REGULRTION FL NO.984 P.17 f N.A.S.D, REGULATION, INC. AWARD NASD Regulation, Inc., Office of Dispute Resolution In the Matter of the Aibitratiou Between Names of Claimants Charles L. and Elizabeth C. Jester 96-05405 Names of Respondents Dallas Research & Trading, Inc. James Bailey REPRESENTATION For Claimants: George J. Felos, Esq. of Fdos & Felos, P. A., Dunedin, Florida. Respondents: Michael A. Piazza, Esq.

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Charles A. Thurman, Claimant, vs. No. 96-05398 Pioneer Trading Discount Brokerage, A Division of John Dawson & Associates, Member NASD and SIPC, Bear Stearns Securities, Inc., and John Dawson & Associates, Inc., Respondents. REPRESENTATION OF PARTIES Charles A. Thurman ("Claimant"^ appeared pro se. • J ] ";•-; Pioneer Trading