AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants Bruce Samuelson and Holly Samuelson and Case Number: 04-01066 Hearing Site: Southfield, Michigan Respondent Menill Lynch Pierce Fenner & Smith. Inc. Customers v. Member REPRESENTATION OF PARTIES Bruce Samuelson and Holly Samuelson ("Claimants") were represented by James P. Graven, Esq., Toledo, Ohio, and Peter Rageas, Esq., Urso, Rageas & Papista, P.C.,

Finra ^ FINRA DR In the Matter of Arbitration Between Case: Roger Neal Smith v Salomon Smith Barney Docket: 2001-009675 Attorneys: For Claimant(s): D. P. Sindicich - Redlands, CA Leodis C. Matthews - Los Angeles, CA For Respondent(s): Elizabeth H. Lindh - Long Beach, CA Date Filed: 12/3/2001 First Scheduled: 09/25/2002 Decided: 5/13/2008 Case Summary: Former employee against member firm for compensatory damages, punitive damages, attorneys f

Finra ^ ''tSff> FINRA DR In the Matter of Arbitration Between Case: Frank H. Suits, Jr., Theresa P. Suits, Paul G.H. Suits and Genevieve A. Suits v. Merrill Lynch Pierce Fenner & Smith, Inc. and Michael Keefe Gorman Docket: 2006-016588 Attorneys: For Claimant(s): Brian J. Neville - New York, NY For Respondent(s): John C. Kelly - Newark, NJ Date Filed: 9/7/2006 First Scheduled: 07/17/2007 Decided: 5-21-08 Case Summary: Customer claima

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between JimOslwm and NASD Case Number 94-03215 American Express Financial Advi.sors. Inc. {Bls/i IPS Financial Servioes. Inc.) and Susan A. Pumen REf RESEWTATIQW ftF f A^TrES Claimam, Jim Osbum was represented by Paul A. Cooley, Esq. of Bellaire, Texas. Respondents, American Express Financial Advisors, Inc. and Susan A. Dunten were represented by Gary Ir

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Deborah L. Jones vs. A.G. Edwards & Sons and Tiffany De Ruosi Case Number: 01-05148 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: For Respondents: A.G. Edwards & Sons Tiffany De Ruosi Deborah L. Jones West Covina, California Matthew R. Salamon, Esq. A.G. Edwards & Sons, Inc. St. Louis, Missouri Matthew R. Sal

NATIONAL ASSOCIATION OF SECURITIES DEALERS AWARD In the Matter of the Arbitration Between Eva Michel McCoy, Claimant, La Jolla Securities Corporation, Marvin Susemihl and Bruce A. Biddick, NASD No. 94-3212 Respondents. Representation For Claimant: Morton Levy of Investor Advocates, San Francisco, Califomia For Respondent Marvin Susemihl: Robert Weaver, Esq., San Diego, California For Respondents La Jolla Securities and Bruce Biddick: Bru

NASD Arbitrat:ion No. 94-03205 N.A.S.D. AWAHD NATIONAL ASSOCIATION OF SECURITIES DEAI^ERS. INC. In the matter of the Arbitration Between Name of Claimants Reuben and Edla "Betty" Decker Name of Respondent and Third-Party Claimant Prudential Securities Incorporated, formerly Prudential Bache Securities, Inc. Name of Third-Party Regnondenf, Cynthia L. Romney RBPRESEMTATION For Claimants: Fredrick D. Huebner, Esq., Helsell, Fetterman,

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Paine Webber Incorporated, Claimant, vs. No. 94-03201 Paul A. McCIain, Respondent. REPRESENTATION OF PARTIES Paine Webber Incorporated ("Claimant") was represented by Lisa Tillem, Esq., of PaineWebber Incorporated, Weehawken, New Jersey. Paul A. McClain ("Respondent") appeared on his own behalf CASE INFORMATION Claimant's Statement of

94-03193 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Crestar Securities Coiporation Name of Respondents The Trading Desk Inc Jerry W. Manning Scott David Purcell The Trading Desk of Memphis, Inc. James Henry Beckmeyer Mary Elizabeth Cumberland Robert Leslie McCook REPRESENTATION Claimant Crestar Securities Corporation ("Claimant") was represented at the h

N.A.S.D. AWARD NATIONAL ASSOCUTION OF SECLIUTIES DEALERS In the Matter of the Arbitration Between A. Lee and Helen B. Brogdon 94-03186 Name of Respondentf s^ A.G. Edwards & Sons, Inc. Jeffrey M Chatfteld CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 11, 1994, Claimants A. Lee and Helen B. Brogdon, who appeared Pro Se, alleged that Respondents Jeffrey Chatfield ("Chatileld") and A.G. Edwards