N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Friedrich I. Sonntag 94-05408 Name of Respondents Fahnestock & Co., Inc. laclc Spiegelman REPRESENTATION For claimant Friedrich I. Sonntag ("claimant") appeared his representative Kevin C. Kaplan, Esq. of the law firm Aragon, Burlington, Weil & Crockett, P.A., located in Miami, Florida. For respondent Fahnestock & Co

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 01-05114 Ronald Kip Parrish, Claimant vs. Quick & Reilly, Inc., Mike Guttman, John Leahy, Patrick McGreal and James MacNamarrah, Respondents. ATTORNEYS: Claimant appeared pro se, Bayshore, NY. For Respondents appeared in-house counsel, Samantha E. Kefford, Esq., New York, NY DATE FILED: September 28, 2001 CASE SUMMARY: Claimant alleged that Respondents purchased shares of Mattel stock witho

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Iqbal Latif, Nasreen Latif, Zack Enterprises, Ltd., and Iqbal and Nasreen Latif as Custodians for Zain and Zachery Latif (Claimants) v. Salomon Smith Barney, Inc. and Rajen Bakshi (Respondents) Case Number: 02-02200 Hearing Site: New York, New York Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES Claimants Iqbal Latif, Nasreen Latif, Zac

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Yochanan Kalimi Youssian, (Claimant) vs. Intercontinental Equities, Inc., Thomas Patrick Knight, and Roger L. Smolik, (Respondents) Case Number: 99-04549 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Yochanan Kalimi Youssian, hereinafter referred to as "Claimant", appeared pro se. Respondents, Intercontinental Equities, Inc. ("lEI"), Thomas Patrick Knigh

Stipulated Award NASD In the Matter of the Arbitration Between: Names of the Claimants Case Number: 01-05113 Albert C. Johnson and Pamela P. Johnson Names of the Respondents Hearing Site: Atlanta, Georgia Raymond James Financial Services, Inc. and Bernard Michaud REPRESENTATION OF PARTIES For Albert C. Johnson and Pamela P. Johnson, hereinafter collectively referred to as "Claimants": R. Stephen Griffis, Esq., Law Office of R. Stephen Griffi

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Maurice C. Matamoros and 00-01392 Scottsdale, Arizona Name of Respondents Dean Witter Reynolds, Inc. n/k/a Morgan Stanley Dean Witter Gary D. Steiner REPRESENTATION OF PARTIES Maurice C. Matamoros ("Claimant") was represented by Richard G. Himelrick, Esq., Tiffany & Bosco, Phoenix, Arizona. Dean Witter Reynolds, Inc. n/k/a Morgan Stanley Dea

Finra ^ FINRA DR In the Matter of Arbitration Between Case: Laurie McCormick vs. Edward D. Jones & Company, L.P. and Does 1-20, inclusive Docket: 2007-016718 Attorneys: For Claimant(s): Arshak Bartoumian - Victorville, CA For Respondent(s): Christopher A. Pickett - St. Louis, MO Lisa Peel - St. Louis, MO Date Filed: 4/4/2007 First Scheduled: 03/31 /2008 Decided: -f / ^ '^/^ ^ Case Summary: Nonmember claimant alleges breach of contract, breach of

Finra 1 FINRA DR In the Matter of Arbitration Between Case: Samuel Albert Annitto v. Merrill Lynch, Fenner & Smith, Incorporated Docket: 2007-016728 Attorneys: For Claimant(s): Brian J. Neville - New York, NY For Respondent(s): Karen L. Palermo - Paoli, PA Michael J. Fortunato - Paoli, PA Date Filed: 5/1/2007 First Scheduled: 01/23/2008 Decided: 4/30/2008 Case Summary: Claimant, a former employee, alleges respondent member firm wrong

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Ron Sanro 94-03518 and Names of Respondents J.C. Bradford & Co. and Kevin M. Collier Claimants Ron Sanro was represented by Paul N. Young, C.E.O., Securities Arbitration Group, Inc. Respondents J.C. Bradford & Co. and Kevin M. Collier were represented by Claude O. Ramer, II, Esq. and Linda Willis, Esq. CASE INFORM

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In die Matter of the Arbitration Between Ni|fnf9(9a^»8ffl GKN Securities Corp. 94^3503 Name of Respondent Anthony DiNota CASESIJMMABY In a claim filed widi the National Association of Securities Dealers, Inc. on August 31,1994, Oaimant, GKN Securities Corp., through its representative and in-housecounsd, Kadierine Nadum, Esq., located in New York, NY, alleged diat Respoodeot, Andiony