Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 07-00439 Mattie McCurdy Names of the Respondents Hearing Site: New Orleans, Louisiana MetLife Securities, Inc. Valerie Garriga Nature of the Dispute: Customer v. Member and Associated Person. REPRESENTATION OF PARTIES For Mattie McCurdy, hereinafter referred to as "Claimant": George W. Healy, IV, Esq., Attorney at Law, Gulfport, Missi

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Bear Stearns Securities Corp. Names of the Respondents Paragon Financial Group, Incorporated R. William Lee, Jr. Don Reinhard Name of the Third Party Respondent Magnolia Mortgage Partners, L.P. a/k/a Magnolia Capital Partners, L.P. Case Number: 03-07010 Hearing Site: Atlanta, Georgia Nature of the Dispute: Member v. Member and Associated

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the riaimant Case Number: 03-07005 Larry Waslow Names nf tVi^ respondents Hiring Site! Philadelphia, PA Geneva Capital Corp. Craig S. Balsam Nature of the Dispute: Customer vs. Member and Associated Person. RFPUFSF.NTATTON OF PARTTF.S Claimant Larry Waslow, hereinafter referred to as "Claimant", was represented by J. Anklowitz, Esq., Law Offices of J.

NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Charles V. Pledger and Linda Pledger, Claimants v. Triquest Financial, Inc., Ardis Scott Roderick, George A. Schumacher and Charles W. Whiting, Respondents Case Number: 00-01512 Hearing Site: Salt Lake City, Utah REPRESENTATION OF PARTIES For Claimants: Randall R. Heiner Attorney at Law Salt Lake City, Utah For Respondents: Roger H. Bullock Strong & Hanni Salt Lake City,

NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Joan Bennett as Executrix of the Estate of Fred Taytor v. Kidder Peabody & Company Inc. and DavM Palmer Attorneys: For Claimant(s): John E. lAwlor Esq.. Garden Cfty. NY For Flespondanl^): Ridiard ICaily Esq. > New York. NY Date Filed: oi/26/gs First Scheduled: 09/27/95 Decided: 12/05/95 Case Summary: claimant, a pubfio customer, alleges respondentB, a member firm and regi

(^ New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Jean Adams v Grunlal & Co.. Inc. Attorneys: For CtairmrtfB): Richard M. Sclazzo Esq. - Stamford, CT For RaBpondBnl(s): Donald N. Cohen Esq. - (tow York. NY Date Filed: 02/07/95 First Sctieduled: 07/IM5 Decided: i(V06/85 Case Summary: Ctahnant sealalo recover damages for unpaid saiary paymenla in acoordanoewrilh an employmem contract which was never f uirdlBd du

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between/Among | Scott Chakmak | * Claimant | Case #88-02866 * AWARD I * Shearson Lehman Hutton, Inc. | and Budd Abbott * CASE SUMMARY Claimant(s), Scott Chakmak alleged that Respondent(s), Shearson Lehman Hutton, Inc., failed to follow instructions with regard to investment strategies and placed him in risky investments without authorizat

N.A.S.D. AWARD J^UXIQNAL ASSOCIATION OF SECURITIES DEALERS F. Watt Bishop, as Trustee for the F. Watt Bishop, D.D.S., P.A. Profit Sharing Plan and the F. Watt Bishop, D.D.S., P.A. Pension Plan, Claimant, V. No. 93-05337 Raymond James & Associates, Inc., Investment Management & Research, Inc., Eagle Asset Management, Inc., and Cecil Dee Brown, Respondents. REPRESENTATION OF PARTFES Claimant F. Watt Bishop, as Trustee for the F.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number- 03-07003 Richard and Candace Joseph Names nf the Respnnrtents Hearing Siter Pittsburgh, PA Advest, Inc. Nussbaum Partners Robert E. Feldman Nature of the Dispute: Customers vs. Member, Non-Member and Associated Person PFPRFSFNTATTON OF PARTTFS Claimants, Richard and Candace Joseph, hereinafter collectively referred to as "Claimants", w

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-07000 Bernard Lazowick Sybil Lazowick Names of the Respondents Hearing Site: Philadelphia, PA Rothman Securities, Inc. Theodore Gerald Rothman Nature of Dispute: Customers vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimants, Bernard Lazowick and Sybil Lazowick, hereinafter referred to as "Claimants", wer