Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 01-05538 Marta Evan Stewart Name of the Respondent Hearing Site: Kansas City, Missouri Stifel, Nicolaus & Company, Inc. REPRESENTATION OF PARTIES Claimant Marta Evan Stewart ("Stewart") was represented by Lynne Bratcher, Esq. of the firm! Bratcher & Gockel, LC with offices located Kansas City, Missouri. Respondent Stifel, Nicolaus & Company,

NASD AWARD NATIONAL ASSOCIA'l'ION OH SECURITIES DKALHRS. INC. In the Matter ofthe Arbitration Between Name of Claimant James P. Day, M.D., individually and as trustee of his Individual Retirement Account: Beverly J. Day, individually and as trustee of her Individual Retirement Account: James F. Day. M.D.. P.C, Pollyanna, Inc.; James F. Day, M.D., as trustee of James F. Day, M.D., P.C. Pension Plan; Beverly J. Day as trustee of Pollyanna Employees Money Purch

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECLltlTlES DEALERS In lhe Mittier of the Arbitration Between Name of Claimamis^ Patrick A. Cecil 95-05324 RaiLscher Piurce Refsnes. Inc. ,-\udle Clay Wigley In ii claim filed with the National Association of Securities Dealers. Inc. on November 9. 1995, Claimant Patrick A. Cecil, who appeared Pre Se, alleged that Respondent Rauscher Pierce Refsnes.lnc, through its Rroker, Respondent Audle Clay Wigley mishandled

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter ofthe Arbitration Between Name of Claimant David Zapilcr individually and as custodian for Sarah Zapilcr and 95-05783 NamtofRgspgndem Correspondent Services Corp. REPRESENTATION OF PARTIES David Zapiler individually and as custodian for Sarah Zapiler ("Claimants") was represented by Edward W. Holub, Esq., Zapiler & Associates, Denver, Colorado. Correspondent Services Co

NASD AWARD NATIONAL ASSOCIATION OF SECl.TRITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Bruce P. Fierst, P.C. Employee Profit Sharing Plan & Trust and Bruce P. Ficrst and 94-05410 Name of Respondents. Third Party Claimants Mark J. Richards M.J. Richards Company M.J. Richards Company, Inc. Name of Third Partv Respondents Capitol Analysis, Inc. Capitol Analysts of Colorado RFPRESENTATION OF PARTIF.S B

NASD AWARD NATIONAL ASSOCIATION 01- SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name pf Claimant Tony and Teresa Romano and 9S-02306 Nj^Tig Qt Rgspgndggt Prudential Sccuriiies, Inc. REPRESENTATinN OF PAKTIBS Tony and Teresa Romano ("Claimants") appeared pro se. Prudential Securities. Inc. ("Respondent") was represented by Charles B. LaChaussee. Esq., Prudential Securities, Inc.. New York. New York. The Staten\entofCl

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Michael S. McGrath and Deroda K. McGrath and Case Number: 01-05537 Hearing Site: Southfield, Michigan Name of Respondent Web Street Securities, Inc. REPRESENTATION OF PARTIES Michael S. McGrath and Deroda K. McGrath ("Claimants") were represented by David M. Foster, Esq., David M. Foster, P.C., Farmington Hills, Michigan. Web Street Securities, Inc.

N.A.S.D. AWARD NKnOKKL ASSOCIKnCN OF SECURITIES DEALERS In the letter o£ the Arbitrauon BetwiEi 'V Lissa B. Poe 89-03492 Stuazx Jamas Qai^anf, Inc. Dizk Nye Janes C. Padgett Williani R. Lunde Michael RartiBr In a claim fllad with the National Association of Securities Daalers, Inc. ("NASO") on or about Dscenber 13, 1989, Ussa B. Poe ("ClAimant") alleged that the Stuart-James Caa^axjY, Inc. ("Stuart-Jamas") and KUlian R.

NATIONAL ASSOCZATZON OF SECURITZBS DEALERS In Che Maccer c£ the Arbicracion Becween ^^ame af Claiffianc Srian achwars 95-02344 Vama of Raspondenc Rickel & AsGociatea, Inc. CASB STMMARY In a claim filed with the Nacional Aaaociation of Securities Dealers, Inc. on May \G. 19S5. Claimant Brian Schwarz, who appeared Pro Se, alleged that Respondent ?.ickel & Associates, Inc. bought South Richmond Securities f South Richmond"; as •';f ::ece[nber 27

I Page 4, paragraph numbered 2 of this arbitration award was oidactcd on September 25. \ I 2009. pursuant to court order issued by the District Court of Oklahoma County on i ' I December 10,2004, and received by FINRA on July 22.2009. | AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimants S.Y. Sharp and Helen Sharp and 00-04269 Oklahoma City, Oklahoma Name of Respondents The Thomwater Company L.