N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In die Matter of the Arbitration Between Name of Claimant Cathie Jo Smith Dawson 94-03269 Name of Respondent Richard Defireez CASE SUMMARY In a claim filed with the National Association of Securities Dealers, be. on Augost 16,1994, Claimant Cathie Jo Smith Dawson ("Claimant"), who appeared Pro Se, alleged that Respondent Richard DeFreez ("Respondent"), was die broker responsible for h

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Legg Mason Wood Walker, Inc. 94-03267 Name of Respondent Henry W. Custin CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 12, 1994, Claimant, Legg Mason Wood Walker, Inc. ("Legg Mason"), through its representative Michael J. Cerato, Vice President, alleged that in January of 1994

nNAL ORDER NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Paddy Garver, Trustee of the Show Low Medical Clinic P.C. Pension and Profit Sharing Plan, Claimant, vs. No. 94-03258 Jere K. LeDesky, Merrill Sauriol, and ArMA Financial Services, Inc., Respondents REPRESENTATION OF PARTIES Paddy Garver, Trustee of the Show Low Medical Clinic P.C. Pension and Profit Sharing Plan ("Claimant") was repr

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Rwssgil S- Tpiandgr and Case Number 94-03257 Dickinson & Companv CTc/a R G. Dickinson & Companv REPRESENTATION OF PARTIES Claimant, Russell S. Tolander was represented by Mark L. McManigal, Esq. of Shearer, Templer, Pingel & Kaplan, P.C. from West Des Moines, lA. Respondent, Dickinson & Company was represented by Barbara Bennett, Esq. of Dickinson &

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants Case Number: 01-05200 William A. Stephens, Jr. and Kathryn Stephens Name of the Respondents Hearing Site: Houston, Texas First Union Securities, Inc., and Anthony Lapia REPRESENTATION QF PARTIES Claimants, William A. Stephens Jr. and Kathryn Stephens hereinafter collectively referred to as Claimants: Kirk G. Smith, Esq. of Shepherd, Smith & Rebel, P.C., loc

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Clinnon Alexander and Case Number: 94-03244 Name of Respondent Smith Barney Shearson, Inc. REPRESENTATfON OF PARTIES Claimant Clinnon Alexander ("Claimant") was represented by Harris H. Barnes, III, Esq. of Dossett, Goode, Barnes & Broom, P.A. located in Jackson, Mississippi. Clainiant had been previously represented by Denis A.

N.A.S.D. AWARD NATIONAL ASSOCUnON OF SECURITIES DEALERS In the Matter of the Arbitration Between Nam9 9f Claimant Michael Cotton vs. Name of Resoondents Award No. 94-03238 Bear Stearns & Company Reich & Co., Inc. Lawrence B. Weil Mortimer Leroy Weil REPRESENTATION For Claimant, Michael Cotton ("Claimant"), Joe Boynton, Esq. from the firm of Glickman, Sugarman & Kneeland, located in Worcestor, Massachusetts. For Respondent

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Randy SchafFer and NASD Case Number 94-03231 Names of Respondents M. Rimson & Company, Gilbert Ramos, and Moshe Rimson REPRESENTATION OF PARTIES Claimant, Randy Schaffer was represented by Leonard J. Meyer, Esq. and Gaiy Cerasullo, Esq. of Zimmerman, Flaum, Axelrad, Meyer & Wise located in Houston, Texas. Respondents,

Finra ^ ^ FINRA DR In the Matter of Arbitration Between Case: Citigroup Cliobjj Marians, Inc., f/k/a SaVjmon Sniilh Barney, Inc. v. David A. Nagl^r v. Citigroup CDdhalt: Markets, Inc. Docket: 2007-016749 Attorneys: For Claiinant(s): (iregory R. (Crochet - Atlanta, CA For Respondent(s): Benjamin 1'. I'ciichtcr - Aibuqiierque, NM Date Filed: 5/22/2007 First Scheduled: 01/29/2008 Decided: 7. i^C^ Case Summary: Claimant, a member firm, a

>n In the Matter of the Arbitration Between: Sutro & Co. Incorporated v. Tsutomu Uchida Case Number: 01-05198 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: For Respondent: Allison C. Templeton David H.S. Commins, P.C. San Francisco, California Robert A. Graham, Jr., Esq. Law Offices of Robert A. Graham, Jr. Grants Pass, Oregon CASE INFORMATION Statement of Claim filed: September 10, 2001.