Award NASD Dispute Resolution In the Matter of the Arbitration Between: Donna E. Mansur, Trustee for the Jack Nedelman Trust U/A DTD 8/18/98, Claimant v. A.G. Edwards & Sons, Inc. and Ted T. Mendoza, Respondents Case Number: 03-07024 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: . Dennis R. Villavicencio, Esq. Akins & VUlavicencio, LLP Carlsbad, Calif

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Neil Chelo, Claimant v. TD Ameritrade, Inc. (f/k/a TD Waterhouse Investor Services, Inc.), Respondent Case Number: 06-00329 Hearing Site: Seattle, Washington Nature of the Dispute: Customer v. Member REPRESENTATION OF PARTiES For Claimant Neil Chelo: Neil Chelo Pro Se Ronton, Washington For Respondent TD Ameritrade, Inc.: James J. Vihstadt TD Ameritrade, Inc.

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-07018 Trudy M. Myers, and Trudy M, Myers IRA, Claimant v. Edward D. Jones & Co., and Mark Francis Harper, Respondents. ATTORNEYS: Claimant, Trudy M. Myers and Trudy M. Myers IRA, ("Claimant"), appeared pro se, through Carolyn S. Gray, a licensed Life and Health Insurance agent with the Ohio Department of Insurance, Kent, OH. Respondents, Edward D. Jones & Co. and Mark Francis Harper, ("R

_ NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In The Matter of The Arbitration Between vs. --v^L . And- y1\L-nnCl^ .K^-^Ch'tr-hrAj'i\ Claimant(s) Respondent(s) Award NASD No. i^-aJf-OL SUMMARY OF ISSUES This case was filed on Incuf 3o . I^^^ • {frus^nAt^ aJhapJ. rT ^ 'f- ' . ~^ ~^ - // £^ - DAMAGES AND RELIEF REOUESTED DAMAGES AND RELIEF AWARDED On ^M^.ux^ j /^ l^Qi)^ r.L ScdJ^ ^^

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Evan "Jay" Peterson and Claimant Kathy Peterson vs. Shearson Lehman Hutton, Inc. Respondents Kim Hodges, John Oertle & Stan Collins AWARD CASE #89-00607 SUMMARY OF ISSUES This case was filed on February 27, 1989. Claimants alleged that Respondents failed to follow Instructions and breached a contract with respect to the purchase of soybean futures contracts. Respondents denied the allegatio

AWARD NASD, Regulation, Inc., Ofiice of Dispute Resolution In the Matter of the Arbitration Between Lyman C. Warkins & Myma E. Warkins Dean Witter Reynolds, Inc. Claimants NASD Arbitration No. 95-05968 Respondent REPRESENTATION OF PARTIES Lyman C. Warkins and Myma E. Warkins ("Claimants") were represented by Lyman Warkins, pro se. Dean Witter Reynolds, Inc. ("Respondent") was represented by Jay M. Cutler, Esq., Dean Witter Reynold

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Bergantino, Inc. and John A. Bergantino Q5-02864 Name of Respondents Stratton Oakmont, Inc. Robert William Koch 11 Kenneth J. Puina REPRESENTATION For Claimant Bergantino, Inc. and John A. Bergantino appeared John A. Zucchi, Esq. of MacchI & Zucchi, located in Framingham, MA. For Respondents Stratton Oakmont, Inc. ("Stratton

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Elias J. Lehaf (Claimant) v. Yankee Financial Group, Inc. and Richard F. Kresge (Respondents) Case Number: 03-07013 Hearing Site: Newark, New Jersey Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Elias J. Lehaf ("Lehaf) hereinafter referred to as "Claimant": Michael E. Silverman, Esq., Holmdel, NJ. Respondents Yankee Financia

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Kathy Seeley v. 03-07012 Denver, Colorado Respondents Morgan Stanley Dean Witter, Inc. and William Saltz Nature of Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES * Kathy Seeley ("Claimant") was represented by Chad P. Hemmat, Esq., of Anderson, Hemmat & Levine, L.L.C, Denver, Colorado. Morgan Stanley Dean Witter, Inc. ("MSD

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Michael Shinn v. 03-07011 Denver, Colorado Respondents Merrill Lynch, Pierce Fenner & Smith, Inc., and Joseph I. Yanofsky Nature of Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES Michael Shinn ("Claimant") was represented by Chad P. Hemmat, Esq., of Anderson, Hemmat & Levine, L.L.C, Denver, Colorado. Merrill Lyn