N.A.S.D. AWARD NATICnrAL ASSOCIATION OF SEC17RITIES DEALERS In the Matter of the Arbitration Between Rory V. and Carol Ann Rak 94-03408 Respondent Charles Schwab & Company, Inc. CASE STlMMAaY In a claim filed with the National Association of Securities Dealers, Inc. on August 25, 1994, Claimants Rory V. and Carol Ann Rak, who appeared Pro Se, alleged that Respondent Charles Schwab & Company, Inc., incorrectly executed a trade for the

N.A.S.D. AWARD NATIONAL ASSOCUnON OF SECURITIES DEALERS In the Matter of the Arbitration B^ween WaaggfglamaBtt Medio F. Raines and Cecelia M. Raines JTWROS 94^03405 NamgftfBffiBwnwtoiP Merrill Lynch, Pi^ce, Fenner & Smith, Inc. Beverly McGahee In a claim filed with the National AssodatiDn of Securities Dealers, Inc. on August 24, 1994, Claimants Media F. Raines and Cecelia M. Raines, who appeared pro se, alleged that they purchased 5 units o

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 01-05105 H & R Block Financial Advisors, claimant vs. James C. Daly, respondent. ATTORNEYS: For Claimant appeared Kurt M. Miller, Esq., in-house counsel, Detroit, MI. Respondent did not respond to the Statement of Claim. DATE FILED: September 28, 2001 CASE SUMMARY: Claimant alleged that they were forced to sell out 1000 shares of Palm, Inc. due to respondent's failure to meet margin r

N.A.S.D. ANARD (IKTICNIVL PSSfXJXmaH OF SEXZURTTIES DEAIEHS In the Matter of the Acbitration Between Marguerite Harkel 89-00923 Roger N. Kruezer For Claimant: Williazn H. Thoies III, Esq. of Oobson and Dcabeon. For Respondent: Roger N. Kruezer re[»?es«ited hiirself. Statenent of Claim filed: Warch 21, 19B9. Claimant's Subtnission Agreement signed on: April 21, 1989. Statenent of Answer filed by Respondent, Roger N. Kruezer on Respond

NASD AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Marilyn Barnes Case Number and 97-05127 Name of Respondents Edward D. Jones & Co, Michael Chapman REPRESENTATION OF PARTIES For Marilyn Barnes ("Claimant") appeared Nicholas D. Thomas, Esq., a sole practioner located in Raleigh, North Carolina. For Edward D. Jones & Co. ("Edward Jones ") and Michael Chapman ("Chapman"), collectively referre

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: James A. Fisher; Edith H. Fisher; James A. Fisher, Kipling Corporation; Chester G. Fisher, II; Dorothy Jean Aldworth; Sonja D. Baker; Prina V. Biguereau; Martin Bim; Diane Brian; John A. Buehler; Lloyd F. Conner ^o Harold R. Conner; Joseph Conrad; Jeremiah ('Toby") Crowley; Melissa Crowley; Kenny Danielson; Barbara Danielson; Tioga, Inc., Hans Christian Hogne Bemhoft, President^o Kim Dunn

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Case Number: 01-05102 Robert M. Moriera Elizabeth Moriera Names of Respondents Hearing Site: Boca Raton, Florida Salomon Smith Barney, Inc. Alexander Fernandez REPRESENTATION OF PARTTES For Robert M. Moriera and Elizabeth Moriera, hereinafter referred to as "Claimants": Scott L. Silver, Esq., Law Offices of Darren Blum, P.A., Plantation, Flo

Finra FINRADR In the Matter of Arbitration Between Case: Bertha Evon v. Merrill Lynch and Bito Gill Docket 2005-016085 Attorneys: For Claimant(s): Bertha Evon - Saginaw, MI For Respondent(s): Keith Guilfoyle - New York, NY Date Filed: 5/10/2005 First Scheduled: 08/31/2005 Decided: 10/17/2005 Case Summary: Customer Claimant alleges unauthorized use of margin and failure to follow instructions and failure to disclose in connection with an investme

Arbitration - case #2004-015608, Gary Farber v. Sun Trust Banks, Inc Finra FINRADR In the Matter of Arbitration Between Case: Gary Farber v. Sun Trust Banks, Inc., Sun Trust Capital Markets, Inc., and Sun Trust Robinsor Humphrey Docket 2004-015608 Attorneys: For Claimant(s): Barry R. Lax - New York, NY For Respondent(s): Russell S. Drazin - Washington, DC Vernon W. Johnson - Washington, DC Date Filed: 7/28/2004 First Scheduled: 05/27/2005 De

Finra FINRADR In the Matter of Arbitration Between Case: Richard L. Vogt v. CIBC Worid Markets Corp. Docket 2004-015456 Attorneys: For Claimant(s): Alan L. Sklover - New York, NY For Respondent(s): Kenneth J. Turnbull - New York, NY Date Filed: 5/25/2004 First Scheduled: 04/12/2005 Decided: 8/10/2005 Case Summary: Claimant, a registered representative, alleges that he was wrongfully denied his bonus and severance payments, discriminated