N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of die Arbitration Between Name of Claimant Lois Stachnik 95-05689 Name of Respondents A.G. Edwards & Sons. Inc. Gary Camarano CASE SUMMARY [n a claim filed with the National Association of Securities Dealers, Inc. on December 5, 1995, Claimant Lois Stachnik, who appeared Pro Se, alleged that Respondem A.G. Edwards Sons, Inc., through it's broker, Respondem Gary Cama

Finra FDSfRADR In the Matter of Arbitration Between Case: J< ihn Wilson and Shelly Wilson \-s. Merrill Lynch Picn:e Hcnncr & Smith Docket: 2007-016711 Attorneys: For Claimant(s)t Steven D. Toskcs, Esq. - Boca Raton, FL For Rcspondent(s): Christina N. Daviles, Esq. Boston, MA Date Filed: 4/12/2007 First Scheduled: 12/04/2008 Decided: 12-22-08 Case Summary: C^usromur C^Liimanb: iillc^ unsuirfihle use of investments in Microsoft options rtnd

Finra FINRA DR In the Matter of Arbitration Between Casei Richard Bruno v. Integra Securities Corp., Stephen Foley and Salvatore Suarino Docket! 2007-016778 Attomeysi For Claiinant(s)t Jefifrey Schulman - New York, NY For Respondent^): Matthew Muraskin - New York, NY Date Filedi 7/12/2007 First Scheduled! 2/28/2008 Decided! 12/22/08 Case Summary! Claimant, a non-Member and former employee of Respondents, alleges breach of contract, breach of fid

Finra nNRADR In the Matter of Arbitration Between Casei RBC Dain Rauscher, Inc. v. Stephens Inc. consolidated with RBC Dain Rauscher, Inc. v. R. Christopher Bulleit, James S. Cashmere, Lani J. Daniels. Jr., Kevin L. Fredericks, Christopher Fuss, David Geller. Boyd P. Hahn, Jeflfrey M. Kerb, William R. Palmer, and Charles E. Ryan Docket: 2004^15.322 Attomeysi For CIaiinant(s); Christopher J. Barber, Esq. - Chicago, IL Nancy Hendrickson, Esq.- Chi

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Shirley Glover, (Claimant) vs. Capital Strategies, Ltd., Bart Kaplow, and Frank Greulich, (Respondents) Case Number: 01-05829 Hearing Site: Cleveland, Ohio REPRESENTATION OF PARTIES Claimant, Shirley Glover, hereinafter referred to as "Claimant": Douglas A. Kutsko, Esq., Brian P. Biggins & Associates Co., L.P.A., Rocky River, OH. Respondents, Capital Strategies, Ltd. ("Capital")

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the, riairnai-it Case. Number: 01-05828 Janice Marx "Name, of the ft pspondents Hearing Site: Philadelphia, PA Merrill Lynch, Pierce s Fenner & Smith, Inc. Peter Rudzitis Nature of the Dispute: Customer vs. Member and Associated Person. RFPRFSFNTATTON OF PAKTTFS Claimant. Janice Marx, hereinafter referred to as "Claimant", was represented by Nichol

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the Claimant Elizabeth Redden Name of the Respondents Somerset Financial Group, Inc., David Velinsky, David Frey, and Joel Soren Mnmher- 01-05825 g .Site- Philadelphia, Pennsylvania KF.PRKSFNTATTOM OF PARTTFS Claimant Elizabeth Redden, hereinafter referred to as "Claimant", was represented by George L. Mahr, IE, Esq., George L. Mahr, P.C., Madison, New Je

H.A.S.D. JOnSD tdOICiaL ASSQasnCK GP SBCDBZIZES DBOSBS 91-04153 ddsDljnaiBt CogpnrefJBn vUcbOElaL. Blade SOr dalBBit: BUI Baetoo, Vta Ua^m, rm^4*^^4» Vflor RaamadBti JUtUi D. Bead» BSQ./ QldB Dlaconat narporatlm, Datxoit, SUfent of ClaiB fUedi n**^—**Tr 31, 1391 CXaJsMBt's Htihninaim ngi •••!! slgoed cat Asaa 27, 1391 SCMtmrnt. ot jmsMer £lled by BaaiiiiMkiil at MaEuaxy 21, 1392 Si^nrinrtnn JHamniiif atsoad as foUoMBs OLdB Diaoomt Oocpatatla

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the Claimant- Kevin R. Sellers r- 01-05823 Names nf the Respondents Walnut Street Securities, Inc.; Multi-Financial Securities Corporation; Ameritas Investment Corp.; Marcus J. Schrenker; and, Thomas R. Dyer Hiring Site' Indianapolis, Indiana OF Claimant/Counter-Respondent Kevin R. Sellers ("Sellers"), hereinafter also referred to as "Claimant": M

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 01-05821 Albert Lackajs Names of the Respondents Hearing Site: Tampa, Florida Steven M. Gerstel Theo Basis John Bruno Keith Stressler Peter James Walsh Michael Wills Nature of the Dispute: Customer vs. Associated Person. REPRESENTATION OF PARTIES For Albert Lackajs, hereinafter referred to as "Claimant": Patrick A. Davis, Esq