Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-00020 Mary Faith Morford Names of the Respondents Hearing Site: Boca Raton, Florida L&M Financial Services Lauren A. Ferrante Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Mary Faith Morford, hereinafter referred to as "Claimant": Chandra Parker Doucette, Esq., Boca Raton, Florida.

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-01056 Hariand L. Beers Name of the Respondent Hearinq Site: Tampa, Florida Legg Mason Wood Walker, Inc. Nature of the Dispute: Customer v. Member. REPRESENTATION OF PARTIES For Hariand L. Beers ("Beers"), hereinafter referred to as "Claimant": Robert J. Peari, Esq., Peari Malarney Smith, P.C, Naples, Florida. For Legg Maso

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 05-02388 E*TradG Securities, LLC Name of Respondent Hearinq Site: Memphis, Tennessee Robert Pebbles a/k/a Robert Peebles Nature of the Dispute: MefTiber vs. Customer. REPRESENTATION OF PARTIES E*Trade Securities, LLC ("ETrade"), hereinafter referred to as "Claimant": John Bersin, Esq., Counsel, E*Trade Securities, LLC, Roseville, California

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Elizabeth A. Purcell vs. Case Number: 06-00281 Hearing Site: Chicago, Illinois Name of Respondent A.G. Edwards & Sons, Inc. NATURE OF THE DISPUTE Associated Person vs. Member REPRESENTATION OF PARTIES Elizabeth A. Purcell ("Claimant") was represented by Michael B. Roche, Esq. and Gerald T. Rohrer, Esq., Schuyler, Roche & Zwirner, Chicago, Illino

NATIONAL ASSOCIATION OF SECURITIES DEALERS -*—*-*.*- —»__.—— — ____. — _ _ H __ __ -te__• •»-•.———^_ — __^___ - »^ In the Matter of the Arbitration Between ENID STtfRN JEWELRY INTERNATIONAL, INC., Claimant, 87-02883 and : PHILIPS, APPEL & WALDEN, INC. WILLIAM KENT Respondents. X ANSWER OF RESPONDENTS PHILIPS, APPEL & WALDEN, INC. ("PAW") AND WILLIAM KENT CONTAINING AFFIRMATIVE DEFENSES It is respec

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 01-04155 William Gregory Barker Names of the Respondents Hearing Site: Tampa, Florida A.G. Edwards & Sons, Inc. John B. Mackie Nature of the Dispute: Associated Person vs. Member and Associated Person. REPRESENTATION OF PARTIES For William Gregory Barker, hereinafter referred to as "Claimant": Arthur L. Stem, III, Esq., Tallahassee, Flor

.^^j^njt^ci New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Robb, Peck, McCooey Clearing Corporation v Robert Grey, Sol Kamen and Sol Joseph Kamen P.C. Pension Plan Attorneys: For Claimant(s): George Brunelle Esq. - New York, NY For Respondent(s): Robert Grey - Bellerose, NY David E. Robbins Esq. - New York, NY Date Filed: 02/10/1994 First Sctieduled: 05/23/1995 Decided: 11/13/1995 Case Summary: claimant,

y\ew York Stock Exchange NYSE In the Matter of Arbitration Between Case: Sands Brothers & Company Ltd. v. Generex Pharmaceuticals Inc. and Generex Biotechnology Corporation Attorneys: For Claimant(s): Richard A. Rotti Esq. - New Yori< , NY For Respondent(s): Paul J. Bschorr Esq. - New York, NY Date Filed: 09/01/1998 First Scheduled: 06/08/1999 Decided: 11/06/2001 Case Summary: Claimant, a member firm, alleges breach of conbact and anticipatory breach

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 04-08723 Roger Spinks, Sr. Roger Spinks, Jr. Lawrence Juette Estate of Gary Driftmeyer Name of the Respondent Hearing Site: Tampa, Florida R. M. Stark & Co, Inc. Names of the Third-Party Respondents RobertJ. Humak Uriel C. Macias Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Roger Spinks, Sr.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number. 05-05101 Uzi Barany Nechama Goldblat Names of the Respondents Hearing Site: Boca Raton, Florida Sands Brothers & Co., Ltd. Steven Sands John Telfer Leila Shuminer William A. lommi, Sr. Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Uzi Barany ("Barany") and Nechama Goldblat (