Award NASD Dispute Resolution In the Matter of the Arbitration Between: Elliott W. Biggs IRA and Judith A. Biggs et al. (Claimants) vs. Merrill Lynch Pierce Fenner & Smith Inc. and Louis A. Telerico (Respondents) Case Number: 01-05536 Hearing Site: Cleveland, Ohio REPRESENTATION OF PARTIES Claimant, Elliot W. Biggs IRA F/B/O Elliott W. Biggs; Judith A. Biggs; Dr. Elliot W. Biggs F/B/O Dr. Elliott W. Biggs; Elliot W. Biggs DPM, Inc. Profit Sharing Plan;

NASDR AWARD NASDR. INC.. OFFICE OF PISPTITF RFJSnT.UTIQNT In the matter of the Arbitration Between Name of Claimant Phvllis Tovama NASDR Arbitration #95-04004 vs. Name of Respondent(5) Dean Witter Reynolds, Inc. Kemper Securities, Inc. Leonard Strandlev REPRESENTATION For Claimant: David A. Nold, Esq., Young, de Normandie & Oscarsson, Seattle, Washington For Respondents Dean Witter Reynolds & Leonard Strandlev: Michelle Bryan Oraschak

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Robert Abdalla, Claimant v. Pacific Continental Securities Corp., James A. Allen, and Susanna Sapondzhyan, Respondents Case Number: 01-05532 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: Nabile Anz, Esq. Anz and Associates Encino, California For Respondents: James Allen Pacific Continental Securities Corp. Beverly Hills, California

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC, CASE: 01-05523 UBS PaineWebber Incorporated, claimant vs. Peter M. Kuhn, respondent. ATTORNEYS: For Claimant appeared Romaine L, Gardner, Esq., Staten Island, NY. Respondent did not respond to the Statement of Claim. DATE FILED: October 17, 2001 CASE SUMMARY: Claimant alleged that respondent failed to repay monies due following the an order to purchase 1,000 shares of JDS Uniphase. Clai

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Vincent Arciero IRA (Claimant) v. Salomon Smith Barney, Inc. n/k/a Citigroup Global Markets, Inc. and Darran Blake (Respondents) Case Number: 01-05516 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Vincent Arciero IRA ("Arciero") hereinafter referred to as "Claimant": Dan A. Druz, Esq., Manasq

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 01-05513 David W. Dowling, claimant vs. J.B. Hanauer & Co., respondent. ATTORNEYS: Claimant appeared pro se, Rockaway, NJ. For Respondent appeared Stephen M. Plotnick, Esq., of the firm Lowenstein Sandier PC, Roseland, NJ. DATE FILED: October 17, 2001 CASE SUMMARY: Claimant alleged that respondent executed unsuitable and unauthorized trades by churning his account. Claimant contended re

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Patricia Janet Jerzy and Patricia Janet Jerzy, IRA Case Number: 01-05508 Hearing Site: Troy, Michigan Royal Alliance Associates, Inc., Tri-Financial Group and Dwight A. Foster NATURE OF DISPUTE Customers v. Member, Non-Member, and Associated Person REPRESENTATION OF PARTIES Patricia Janet Jerzy and Patricia Janet Jerzy, IRA ("Claimants") wer

NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: METROPOLITAN INVESTMENT SECURITIES, INC., a Washington corporation, Claimant vs. FISERV CORRESPONDENT SERVICES, INC., a Colorado company, Respondent. Case Number: 00-01450 Hearing Site: Seattle, Washington REPRESENTATION OF PARTIES Claimant, Metropolitan Investment Securities, Inc. ("Metropolitan")' hereinafter referred to as "Claimant' 1 : Geoffrey D. Swindler, Esq., Andrews &

Finr - a ^ FINRA DR In the Matter of Arbitration Between Case: Barbara Dezonia v Wachovia Securities, Roger Will;ie. and Frank Kirlc Docket: #05-5002 Attorneys: For Claimant: Terence Mayo, Ksq.- San Hmiu-isco. CA For Respondent: Judy Louie, Hsq.- l^isiiJc-n.i. CA Date Filed: 01/:«/200^ First Scheduled: 08/14/07 Decided: 08/26/2009 Case Summary: i Ai.-stomcr claimant ailesos bruacli ol' TiJiiciarN- dut>', unsuitahk- in\vi:tments, i

Award NASD In the Matter of the Arbitration Between: Name of Claimant Janice B. Alexander Names of Respondents Raymond James & Associates, Inc. Loren Lucas Case Number: 01 -05502 Hearing Site: Orlando, Florida REPRESENTATION OF PARTIES For Janice B. Alexander ("Claimant"), Nicholas J. Guiliano, Esq., Philadelphia, Pennsylvania. For Raymond James & Associates, Inc. ("RJA") and Loren Lucas ("Lucas"), collectively referred to as "Respon