N.A.S.D. REGULATION, INC. CONSENT AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Kenneth S. Greenwalt .^r^r^ 'i < ''• i? I'fil 97-03698 i '.-y Name of Respondents m- o A iqQfl O i li. V \* i*Jv/^' w •— ^ Investors Associates, Inc.; , J " Lawrence Penna; John Storey; Troy Wren; William Cutrone; Herman Epstein; Vision Global, Inc.; Do

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-03695 Dr. Leonard W. Brown and Frona Brown, claimants vs. Smith Barney, Inc., respondent. ATTORNEYS: For Claimants appeared Adam S. Doner, Esq. - West Palm Beach, FL. For Respondent appeared Nicole L. Felton, Esq. - New York, NY. DATE FILED: 7/28/97 CASE SUMMARY: Claimant alleged misrepresentation, unsuitability, negligence, failure to supervise, omissions

Ngv-18-2003 FroHIASW DISPUTE RESOLUTION T-Z54 P.QQ2/(m F-246 AWARD MASD RF.GULATTQN. INC.. OFFICE OF DISPUTE RfrjQUjTION In the matter of the Arbitration Between Name of Clai Gina McBride v. Name of Resnondend'a 1 PIM Financial, Inc. Mary R. Limoges REPRESENTATION For Claimant: For Respondents: Jeffrey L. Gaffney, Esq, t California Eileen L, McGeever, Esq. Rushall £ McGeever Carlsbad, California CASETN

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Steven N. Rosenberg, (Claimant) vs. Salomon Smith Barney, Inc., Scott Lazarus, and Nelson Gaertner, (Respondents) Case Number: 00-02137 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Steven N. Rosenberg, hereinafter referred to as "Claimant", appeared pro se. Respondents, Salomon Smith Barney, Inc. ("Salomon"), Scott Lazarus ("Lazarus"), and Nelson Ga

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Elizabeth McVeigh-Molloy vs. Case No. 97-03682 Name of Respondents Pennsylvania Merchant Group LTD David S. Callan William E. Gomez William B. Fretz, Jr. REPRESENTATION OF PARTIES Claimant, Elizabeth MeVeigh-Molloy, hereinafter referred to as "Claimant": Gerard P. Downey, Esq., Philadelphia, Pennsylvania Pennsylvania Merchant Group, Ltd. ("PMC")

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimants George R. and Deborah C. Payne Samuel and Carrie Kline Patrick and Susan O'Connell vs. 97-03679 Name of Respondents Davenport-Dukes Financial Services, Inc. Davenport-Dukes Advisory, Inc. Ronald Alan Dukes James S.G. Davenport Archie Ray Megginson, Sr. Reginald C. Corinaldi Richard D. Woodall Robert J. O'Brien REPRESENTATION Cla

AWARD NASD REGULATION, INC. In the matter of the Arbitration Between Name of Claimants Edward Finkel and Edward Finkel IRA Name of Respondents Richard Lundgren, James Heinzman, Bruce Biddick, Craig Biddick, and Centex Securities Corp. f/k/a La Jolla Securities, Inc. Arbitration No. 97-03677 For Claimants'. For Respondent Richard Lundgren: REPRESENTATION For Respondents James Heinzm;m, Bruce Biddick, Craig Biddick, and

AWARD NASD REGULATION, INC In the matter of the Arbitration Between Name of Claimant(s) Stephen K. Brunk, Individually and as Trustee for the Stephen K. Brunk Profit Sharing Plan, Dated 12/20/91, Stephen K. Brunk Money Purchase Plan, Dated 12/29/94 v. Arbitration No. 97-03675 Name of Respondent(s) A.G. Edwards & Sons, Inc. Sutro & Co., Inc. L. Dennis Brokaw REPRESENTATION For Claimant: Paul Kennerson, Esq. Kennerson, Schwartz

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-03673 Albert L. Bean, claimant vs. Investors Associates. Inc., respondent. ATTORNEYS: Claimant appeared Pro Se, Millington, TO. For Respondent Investors Associates, Inc., appeared Lawrence R. Gelber, Esq., Hackensack, NJ. DATE FILED: July 25, 1997^ CASE SUMMARY: Claimant alleged that respondent sold his MU stock without permission and purchased a stock

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: David Bushnell, Ingrid Gold, Jack Levine and Ann Levine, Trustees of the Levine Family Trust, Aaron Magidow, Joseph Nemeth, John Rose, Merl Short, Millard Smith, Vivian Leebosh- Thomas, Ralph Thomas, and John R. Weaver, Claimants v. Dean Witter Reynolds, Inc. and Prudential Securities, Inc., Respondents. Case Number: 97-03670 Hearing Site: Los Angeles, California REPRESENTATION OF