NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-06662 American Express Financial Advisors, Inc., Claimant v. Boardwalk Management Corporation and Robert L. Bohorfoush, Respondents. ATTORNEYS: Claimant, American Express Financial Advisors, Inc., ("Claimant"), appeared through their in- house counsel, Michael Northrop, Minneapolis, MN. For Respondents Boardwalk Management Corporation and Robert L. Bohorfoush, ("Respondents"), appeared R

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Samuel G. Dawson Trust dtd 10/23/74, Claimant v. Stone & Youngberg, LLC and George M. Williams, Respondents Case Number: 03-06659 Hearing Site: San Diego, California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Vincent D. Slavens, Esq. Krause & Kalfayan San Diego, California For Respondents: Neal S. Robb, Esq.

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Names of Claimants Mitchell P. and Badri Foto Case No. 00-01469 Names of Respondents PaineWebber, Inc. Larry Dexter Radford Thomas C. Naratil Name of Third-Party Respondent Ahmad K. Sharif REPRESENTATION OF PARTIES For Mitchell P. and Badri Foto, hereinafter collectively referred to as "Claimants":; :Nick A. Dodys, Esq. of Crowley, Appel, Staf

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Name nf TlaimaTit E*Trade Securities, Inc. Case Number: 00-00206 vs. Name of Respondent Wan-Fa Yau Lam Hearing Site: Washington, D.C. REPRESENTATION OF PARTIES Claimant, E*Trade Securities, lac. ("Claimant"), hereinafter referred to as "Claunant": Eric E. Bronson, Esq., Bird, Marella, Boxer & Wolpert. Los Angeles, CA. Respondent, Wan-Fa Yau Lam ("Respondent"), h

Finra ? FINRADR In the Matter of Arbitration Between Case: Lehman Brothers, Inc. vs. Dansbj'-ricckonstein Docket 2007-016738 Attorneys: For Clainiant(s): Bradley J. Schram • Bloonifidd I lills, MI For Respondent(s): Dennis ]. Harris - Livoniai Ml Date Filed: 5/23/2007 First Scheduled: 01/25/2008 Decided: 8-06- 08 Case Summary: Member I-irni Claimant alleges breach of contract in connection with the failure to repay the balance due

AWARD NASD DISPUTE RESOLUTION In the Matter of the Arbitration Between: Richard Pratkanis, (Claimant) vs. Edward Jones & Co. and Thomas Bower, Jr. (Respondents) Case Number: 03-06657 SITUS: Pittsburgh, Pennsylvania. NATURE OF DISPUTE: Customer v. Member and Associated Person. REPRESENTATION OF PARTIES: Richard Pratkanis, hereinafter referred to as "Claimant": Cory O. Daschbach, Esq., Feldstein Grinberg Stein & McKee, P.C., Pittsburgh, Pennsylvania.

Award NASD Dispute Resolution In the Matter of the Arbitration Between; Name of the Claimant Case Number: 03-06655 Chandrilla Kreischer n/k/a Chandrilla Holley Names of the Respondents Hearing Site: Atlanta, Georgia Suntrust Securities, Inc. Jack Richard Kuhns John Daniel VanVeen Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Chandrilla Kreischer n/k/a Chandrilla Holley, hereinafter referr

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: W. Lee Shevel. Claimant v. Wells Fargo Securities, Inc., Wells Fargo Bank, N.A.. Stephens, inc., John N. Vreeberg, Stan Leslie and Robert Lakosil, Respondents Case Number: 99-03458 Hearing Site: San Diego. California REPRESENTATION OF PARTIES For Claimant: Steven S. Kane, Esq. J. Douglass Jennings. Jr., A.P.C. San Diego, California For Respondents: Roben T.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-06648 Linda Naples Names of the Respondents Hearing Site: Boca Raton, FL Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. JackB. Grubman Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Linda Naples ("Naples"), hereinafter referred to as "Claimant": Adam S, Doner, Esq.,

.V..A.S.D. .AWARD NATIONAL ASSOCIATION OF SECLTIITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Richard Boling, II 92-04309 Name of Respondent Joseptithal Lyon & Ross REPRESENTATION For Claimant: Glen Banks, Esq. of Fulbright & Jaworski, New York. New York. For Respondent: Michael McCailister, Esq. of Lane & Mittendorf, New York, New York. CASE INFORMATION Statement of Claim filed: December 24. 1992. Claima