N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between J. Gregory & Co.. Inc. MamffyfPgspgirians Jason D. Nuss r'aniffgfWiqaPM Jason Nuss and Jeffrey Nuss Name of Respondents J. Gregory & Company, Inc. Vincent Mongno: and Dianne Borden 94-03040 (consolidated with 94-03706) For Claimants: J. Gregory and Company, inc. was represented by Mark J. Asiariia, Esq. of Gusrae. Kaplan & Bruno

N.A.S.D. AWARD NATIONAL ASSOCIATION OP SECURITIES DEALERS In the Matter of the Arbitration Between Naiqy of" Cla^^nts Brett P. & Stephanie Dines 95-05583 Name of Respondent J.B. Oxford & Co. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on November 28, 1995. Claimants Brett P. Dines and Stephanie Dines ("Claimants"), who appeared Pro Se, alleged that Respondent J.B. Oxford & Co. ("Respondent") failed

Award NASD In the Matter or the Arbitration Between: Name of the Claimant Case Number: 01-05313 Clifford Schuler Rev. Trust Names of the Respondents Hearing Site: Boca Raton, Florida Morgan Stanley DW, Inc. Christopher Damante REPRESENTATION OF PARTIES For Clifford Schuler Rev. Trust ("Schuler"), hereinafter referred to as "Claimant": Stephen H, Weiner, New York, New York. For Morgan Stanley DW, Inc. ("MSDW") and Christopher Damante ("Damant

NYSE ARCA 115 Sansome Street San Frandsco, CA 94104 In The Matter Of The Arbitration Between: Herbert A. Thomas and Marcia M. Thomas Claimants V. Charles Schwab & Co., Inc. Respondent NYSE Area CASE #: 06-SDD4 DEaSION The undersigned Arbitrator, having read and considered the Claim submitted l3y Claimants, the Answer of the Respondent, and the Rebuttaf of the Ciaimants, hereby renders the foliowing Decision pursuant to Rule 12 of

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Case Number: 01-05309 Tommy N. Johnson Name of Respondent Hearing Site: Boca Raton, Florida WM Financial Services REPRESENTATION OF PARTIES For Tommy N. Johnson ("TNJ"), hereinafter referred to as "Claimant": Darren C. Blum, Esq., Law Offices of Darren C. Blum, Plantation, Florida. For WM Financial Services ("WMFS"), hereinafter referred to as "Re

Finra>' VINR.\DR In the Matter of Arbitration Bcrvvccn Ca.»if: Dennis Green v. Fdward D. Jones &. Michiicl HooJ Dockct:2()()5-()l6241 Attorneys: For Clatmant(s): I Vniiis (.Jrci-ii - Nc\vii:in. t !.-\ "^Olit^ For RcspomlL'nt(s): I.iiiiluTli (.'i>nr;in - Si. I.tniis. NU ' (i"»l02 Date FiloJ: Ot< /:^>/200^ First SchcJulcJ: 11/:7/200^ neciJed: 9-05-08 Case Suinmary: *.M.iim:nir, c jistoiiu-r, ;illei;es Rospmiilonr iiicitrrealy iilentitk-ii him u

l a : . . . ---••"* J.;.; 15 2SSk PACIFIC EXCH.AXGK, INC. 301 Prac Street PCX ARRlTRATIO^ San Fnmcisco. California 94104 DAVID DETIEGE ) PCX CASE #: 99-S024 ) Claimani ) MlENDF.n DECISION IN TIU: MATTER OF ) ARBITRATION BETWEEN DAVID DHTIKtiH V. ) AND CHARI.R.S SCmV.\B & CO. INC. CilARLMS SCHW\-\B & CO.. INC. ) Reiiponden: Flu understgned Arbitrator, having read and considered the Claim siuhmined by Claimant on Jtme 9

PACincExCH.VNGE i».\rinc hxcHANor. iv jOI Pine Siris: "Sav Francisco, ranfcnn:! ^-ll'j- ^'liff.trc'A.iuenc:. indiMdual!> ami Jerumixeiy ; 'in hehalfoi West Coast C.ipiial.! .P i I CLAIMANT DECISION I\ IHE MATTER OF ARBITR-iTION BETNXF.EN n IFFORD •A^OENER. I\D1VIDI:AI.LV AND DLR;\ AllVr.i Y ON BEH.A.Lr (JF WHS"! IKJASTCAP'IAL. LP. -VNU 1EF^R£"Y I %M..-50N .*£:Yri:\ •; Wilson. R!:S?ONDL-M PCX CASE ":*»9-S034 Ihe un

P.\CIFICEXCHA.\GE • f iM fc i ir T:.I % - PACIFIC EXCH.\NGE INC. 301 Pine Street San Francisco, California 94104 Naihong Chen V Charies SC^WAO & Co. ) ) CLAIMANT ) ) Inc. » R5.SPONDENT ) PCX CASE **: 99-S038 DECISION IN THE MATTER OF ARBITRAIION BETWEEN NAIHONG CHEN AND CHARLES SCHW.^B St CO.. INC rhe undersigned .'\n>itrator. having read and considered the Claim submitted b> Claimant Naiho

P.ACIKIC KXCILVNCiE. INC ^• PCXAR5iT.==;iiTI0!^ .sanl-rancisco. La:! n:nia 9'i;04 " *•*'*"' >n'. .X. Pcrk:ns i PCX C.\SK #: 98-S032 1 CI..AI.MA.NT 1 Di:f:iS10N IN IHE .M.ATThH OF I .\i4flrn4Ai ION Bi-;iT.vtE\ TOM .A V . PERKINS .^\nOLDE DISCOLfNT CORPOR.-\llON .JLNDTHOMA.S OLOf. D-.scomt Cuqjontior. Tnoirias Edw-ani i EOWARO COCO .AND ROES i I lIRf)f (JH Ci^^o and RiKTS I ihiouL-h 100, inclu^sivc i '/«). INCLUSIVE RF.SP(3NUtNTS I he u:id