AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between » Name of Claimant Joan Mersten Declaration Trust, by Joan Mersten, Trustee 98-00559 Name of Respondents Olde Discount Corporation; and Al Rosenberg REPRESENTATION For Claimant: Joan Mersten Declaration Trust, by Joan Mersten, Trustee ("Mersten"), was represented by James J. Eccleston, Esq. of Eccleston & Associates, P.C., located in Chicago, Illinois. For Respo

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Rodney D. Ellis vs. Names of Respondents Lincoln Financial Advisors Corp. and The Lincoln National Life Insurance Company Names of Claimants Lincoln Financial Advisors Corp. and The Lincoln National Life Insurance Company vs. Name of Respondent Rodney D. Ellis Case Number: 06-01227 Hearing Site: Troy, Michigan Consolidated with

Award NASD Dispute Resolution, Inc. In the Matter of tiie Arbitration Between Nrnnftofnaimflnts Bruce and Rebecca Yordy Name of Case No. 00-04890 (Master Case) American Express Financial Advisors, Inc. IDS Life Insurance Company Jerome L. Stacliura Ryan D. Murray In the Matter of the Arbitration Between Lorraine Yordy Case No. 00-05605 (Subordmate Case) American Express Financial Advisors, Inc. IDS Life Insurance Company Je

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Steven Meyerowitz (Claimant) vs. Charles Schwab & Co., Inc., Walter F. Wisniewski, and Paragon Capital Management Corp. (Respondents) Case Number: 05-02184 Hearing Site: New York, New York Elizabeth Drain (Claimant) vs. Charles Schwab & Co., Inc., Walter F. Wisniewski, and Paragon Capital Management Corp. (Respondents) Case Number: 05-02773 Hearing Site: New York, New York

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Steven Meyerowitz (Claimant) vs. Charles Schwab & Co., Inc., Walter F. Wisniewski, and Paragon Capital Management Corp. (Respondents) Case Number: 05-02184 Hearing Site: New York, New York Elizabeth Drain (Claimant) vs. Charles Schwab & Co., Inc., Walter F. Wisniewski, and Paragon Capital Management Corp. (Respondents) Case Number: 05-02773 Hearing Site: New York, New York

Award FINRA Dispute Resolution in the Matter of the Arbitration Between: Name of Claimant William Holland Name of the Respondents Wachovia Securities, LLC Eugene P. Ingargioia a/k/a Gene Ingargioia Master Consolidated Case Number. 05-05159 Hearing Site: San Diego, California Counter-Claimant Wachovia Securities, LLC Counter-Respondent William R. Holland Consolidated with: Name of Claimant Michael W. Holland Name of

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant IFG International Tmst Company Limited, as Trustee of the Lorenzetti Trust, Manzoni Trust, Nonna Trust, Orozco Trust and Pistoletto Trust Name of the Respondent UBS Financial Services, Inc. Case Number: 05-03163 (consolidated with 05-04713, 05-04983, 05-05345 and 05-05879) Hearing Site: Boca Raton, Florida In the Matter of the Arbitration B

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant IMS Securities, Inc. Name of the Respondent A. Martin Abern Case No.: 05-04719 (consolidated with 05-05808) Hearing Site: Boca Raton, Florida In the Matter of the Arbitration Between: Names of the Claimants Abern Financial, Inc. Andrew Martin Abern Bradley J. Rosen Names of the Respondents IMS Securities, Inc. Jackie D. Wadswort

Award FINRA Dispute Resolution in the Matter of the Arbitration Between: Case # 05-05681 Granite Associates, Inc. (Claimant) vs. Richard James Coleman (Respondent) consolidated with Case # 05-05683 Granite Associates, Inc. (Claimant) vs. Michael Resciniti (Respondent) consolidated with Case # 05-05684 Granite Associates, Inc. (Claimant) vs. Thomas John Tedeschi (Respondent) consolidated with Case # 05-05685 Granite Associates, Inc. (Cl

AWARD Regulation, Inc. CASE: 98-00554 Michael Benfante, claimant vs. Dickinson & Co, and Prudential Securities, respondents. ATTORNEYS: For claimant appeared Daniel W. Rice - Cohasset, MA. Respondent Prudential Securities settled. Respondent Dickinson & Co. did not appear. DATE FILED: 2/12/98 CASE SUMMARY: Claimant alleged fraud, illegal trades and sale of unregistered stock. Claim Data Award Data Claim: $10,000.00 Award: $5,000.00 Punit