Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Penelope Jill True, Claimant v. UBS Financial Services Inc. f7k/a UBS Paine Webber, Inc. and Donald M. Fuhrer, Respondents Case Number: 03-01829 Hearing Site: Los Angeles, California Nature of Dispute: Customer v. Member Firm and Associated Person REPRESENTATION OF PARTIES For Claimant: Nancy K. Undem, Esq. Law Offices of Nancy Undem Montecieto, California For

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Mohammed Belafkih, Claimant v, Raike Financial Group, Inc. and William Raike, Respondents Raike Financial Group, Inc. and William Raike, Counter-Claimants v. Mohammed Belafkih, Counter-Respondent Case Number: 03-01827 Hearing Site: Los Angeles, California Nature of the Disputes: Associated Person v. Member and Associated Person Member and Associated Person v. Associated Person

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Marion G. Fouchey and Names of Respondents Indianapolis Securities, Inc. and David J, Oliver Case Number: 03-01823 Hearing Site: Southfield, Michigan NATURE OF DISPUTE Customer v. Terminated Member and Associated Person REPRESENTATION OF PARTIES Marion G. Fouchey ("Claimant") was represented by Anthony V. Trogan, Esq., and Lysa Postula-Ste

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Stanley J. Ferguson, Claimant vs. Edward D. Jones & Co., Respondent. Case Number: 99-02215 Hearing Site: Portland, Oregon REPRESENTATION OF PARTIES Claimant, Stanley J. Ferguson, hereinafter referred to as "Claimant": Robert S. Banks, Jr., Esq., Banks & Underbill, P.C., Portland, Oregon Respondent, Edward D. Jones & Co. ("Edward Jones")* hereinafter referred to as "Respondent": Sc

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Lester McCormick Case No. 99-02212 Names of Respondents James Donovan Joseph Dillon & Company, Inc. REPRESENTATION OF PARTIES Lester McCormick, hereinafter referred to as "Claimant" appeared BTO. se. For Joseph Dilloa & Company, Inc,, hereinafter referred to as "J. Dillon": David B. Gorfinkel, Esq. of Sichenzia, Ross & Friedman, LIP, New York, N

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Gerald A. Bushue, (Claimant) vs. A.G. Edwards & Sons, Inc. and Erin L. Wideman, (Respondents). Case Number: 99-02211 Hearing Site: St. Louis, Missouri REPRESENTATION OF PARTIES Claimant, Gerald A. Bushue, hereinafter referred to as "Claimant": Pro Se, Washington, Missouri. Respondents, A.G. Edwards & Sons, Inc. ("A.G. Edwards") and Erin L. Wideman ("Wideman"), hereinafter coll

4i Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Ray Neufeld and Jane Neufeld, Individually and as Trustees of the Neufeld Family Trust, and The Ray Neufeld Individual Retirement Accounts, Claimants v. Maurice (Mike) Arthur Gross, Jr., Mohammad Ali Khan, Martin Marvin Berk, William Oakleigh Triebel, Klein, Maus & Shire, Inc., SG Cowen Securities Corporation, and Gruntal & Co., LLC (f.k.a. Gruntal & Co., Inc.), Respondents

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Lester A. Johnson and Alberta M. Johnson, individually and as Trustees of the Lester A. and Alberta M. Johnson Revocable Trust and 99-02208 Scottsdale, Arizona Name of Respondents Charles Schwab & Co,, Inc. JR Rogers Investment Management, Inc. Jim Richard Rogers REPRESENTATION OF PARTIES Lester A. Johnson and Alberta M. Johnson, individually and as

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-02206 Corporate Securities Group, Inc., claimant vs. Frank Husek, respondent. ATTORNEYS: For Claimant Corporate Securities Group, Inc. ("Claimant"), Charles E. Scarlett, Esq., Boca Raton, Florida. Respondent Frank Husek ("Respondent"), appeared Pro Se., Short Hills, New Jersey. DATE FILED: 05/13/1999 CASE SUMMARY: Claimant maintained that in March of 1999,

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Jianhua Fan Rongru Zheng Case No. 00-03535 ff p| f gpntiriftnf g WMA Securities, Inc.; Ping Yang; and, Pacific Life Insurance Company Site.* Nashville, Tennessee Claimants Jianhua Fan ("Fan") and Rongru Zheng C*Zheng"), together referred to as "Claimants,'* were represented by Jianhua Fan of Nashville, Tennessee. c, r \ Respondent WMA Securities* Inc. ("WMA"