N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS la tbe Matter cf the Arbitration Between Joseph ^.filana, IQ vs. CASB# 92-03130 WMMrfteWBlMtt Gnmtil ft G>., Inc. BDT fhiBMinr' Loii Ssmet Sdiwaitz, Big. oCPoOickftabBenB. For Reajwndcat: Klmbexly Unger, Baq. of Gnmtal ft Co., lae. CASBlNlfnitMATrON Staiement of Claim filed: Se|Xember 16» 1992. t's Submissioa Agreemeot signed on: Sqitember 9, 1992. Joint Sttfemeot of Answer fl

Finra FINRA DR In the Matter of Arbitration Between Case: Lehman Brothers, Inc. v. Anna Chronis Docket: 2007-016716 Attorneys: For Claimant(s): Victor A. Machcinski, Jr. - New York, NY For Respondent(s): Anna Chronis - New York, NY Date Filed: 4/16/2007 First Scheduled: 07/29/2008 Decided: 8-05-08 Case Summary: Member firm claimant alleges a failure to repay the balance due on two promissory notes. Product: Promissory Note Market: Claim

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Dynamic Mortgage Bankers, LTD. (Claimant) v. Bishop Rosen & Co., Inc. and Isaac Schlesinger (Respondents) Case Number: 01-05238 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Dynamic Mortgage Bankers, LTD. ("Dynamic") hereinafter referred to as "Claimant" appeared pro se through its President,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Aifoitration Between Name of Claimants Alfred G. Piscop 94-02709 Name of Respondents Alain Centner CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July 11,1994, Claimant Alfred G. Piscop, who appeared Pro Se, alleged that his financial advisor. Respondent Alain Centner, advised him to invest in Nytest Environmental st

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between Name of the Claimant Charles R. Levy Case Number: 01-05235 Name of the Respondents Hagar Financial Corp. Thomas Andy Hagar Nooshin Mohammadi McKinney Brent A. Atwood Hearing Site: Raleigh, North Carolina REPRESENTATION OF PARTIES Claimant, Charles R. Levy ("Levy"): Clifford J. Hunt, Esq., Law Office of Clifford J. Hunt, P.A., Clearwater, Florida.

Award NASD In the Matter of the Arbitration Between: Names of the Claimants Case Number: 01-05231 SunTrust Bank, a bank organized under the laws of Georgia, successor by merger to SunTrust Bank, North Florida, N.A. SunTrust Securities, Inc., a Georgia corporation Names of the Respondents Hearing Site: Tampa, Florida Janney Montgomery Scott, LLC, a Delaware limited liability company James E. McMurry, Jr. Randall Glawe Rachel Kern Baldwin

N.A.S.D. AWARD NATIONAL ASSOCLITION OF SECURTIIES DEALERS In the Matter of the Axbitration Between Name of Claimants Richard N. S&iltz 94-00536 Name of Respondents Hanover Sterling & Co. Ltd. In 3 cJaim rlied with *hf National Association of Sscuriti;,^ Diz:STz, 1. - ^n Febnisry II, 1994. CI:;r«idnf Richard N. ^tultz. vvho appealed Pro- iii, ailcge:; that iiis broker al Respondent Hanover Sterling & Co. Lid. ("Hanover .Stcriii?.*;'') i0fir^

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In ttie Matter of the Aibitradon Between NameofClaipiant Richard W. dark Name of Respondents Hanover Sterling &Co. Ltd.; Lowell C. Schatzer. •. Victor Palma M. Randall Ashenfaxb 94-00476 REFRESENTATIQN Fu> Clsiiuhitt: VikiiZTi W Ct±i, pic :?•. ^or. Tsoicisco, Cjl'fcuiia For Respondent: No ^ipeaiances. CASE INFORMATION Statement of CHaim filed: February 3, 1994 Clai

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Prudential Securities Incorporated 94-00436 Name of Resnondent/Counter-Claimant Gregory V. Taylor REPRESRNTATTON For Claunant/Counter-Respondent: Prudential Securities Incorporated ("Prudential") was represented by David D. Sterling, Esq. of Baker & Botts, L.L.P., located in Houston, Texas. For Respondent/Counter-Claunant: Gregory V. Taylor ("Taylo

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Prudential Securities Incorporated 94-00435 Name of Respondent/Counter-Claimant Larry Schlameus REPRESENTATION For Claimant/Counter-Respondent: Prudential Securities Incorporated ("Prudential") was represented by David D. Steriing, Esq. of Baker & Botts, L.L.P., located in Houston, Texas. For Respondent/Counter-Claimant: Larry Schlameus ("Schlameus