NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 01-05096 Stephen Louis Bersch, claimant vs. American Express Financial Advisors, Inc., respondent. ATTORNEYS: Claimant appeared pro se, Reno, NV. For Respondent appeared in-house counsel, Gary R. Erwin, Esq., Minneapolis, MN. DATE FILED: September 28, 2001 CASE SUMMARY: Claimant alleged respondent delayed transferring his IRA Brokerage account from American Express to A.B. Watley. Cla

Finra FINRA DR In the Matter of Arbitration Between Case: Prudential Equity Group, LLC f/k/a Prudential Securities Incorporated v. William A. Bresley Docket: 2002-010977 Attorneys: For Claimant(s): Victor A Machcinski - New York, NY For Respondent(s): David A. Gehn - New York, NY Date FOed: 11/7/2002 First Scheduled: 06/04/2003 Decided: i^l^/o/ Case Summary: Claimant member firm alleges former employee/registered representative breached his empl

Finra FINRADR In the Matter of Arbitration Between Case: Randall P. Weeks, Trustee for the Randall P. Weeks Family Trust, U/A DTD 9/2/93 v Edward Jones Docket 2005-016338 Attorneys: For Clainiant(s): Jahan Manasseh - Boca Raton, FL For Respondent(s): Lisa A. Nielsen - St. Louis, MO Date Filed: 11/8/2005 First Scheduled: 08/24/2007 Decided: ^ / ^ /^ ^ Case Summary: Customer claimant alleges unsuitability, breaches of fiduciary, contractual and

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 01-05090 Morris Lewis Christalyn Lewis Names of the Respondents Hearing Site: Atlanta, Georgia First Southwest Company Emerson Bennett & Associates, Inc. Thomas Fox REPRESENTATION OF PARTIES For Morris Lewis and Christalyn Lewis, hereinafter collectively referred to as "Claimants": Walter E. Forehand, Esq., Lewis, Longman & Walker,

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Harminder Dhani, Claimant v. Web Street Securities, Inc., David Jonathan Rosenberg, and Yosbph Yehuda Fox, Respondents Web Street Securities, Inc., Counter-Claimant v. Harminder Dhani. Counter-Respondent i Casb Number: 00-01388 Hearing Site: San Diego, California For REPRESENTATION OF PARTIES Claimant: or Respondents: Leslie Schwaebe Akins, Esq. Law Offices

K«tV Finra Financial Industry Regulatory Authoritv FINRA DR In the Matter of Arbitration Between Case: Kit Waddle and Brenda Waddle v A.G. Edwards & Sons, Inc. Docket: 06-SO10 Attorneys: For Claimant(s): For Respondent(s): Date Filed: 8/8/2006 Timothy Canning - Novato, CA Brent ]. Burtin - St. Louis, MO Daryl S Landy - Palo Alto, CA First Scheduled: 06/05/2007 Decided: 10/11/2007 Case Summary: Public Customer Claimants al

Finra Financial Industry Regulatory Authority FINRA DR In the Matter of Arbitration Between Case: Marco Roman v Citigroup Global Markets, Inc. Docket: 06-S007 Attorneys: For Claimant(s): For Respondent(s): Date Filed: 5/1/2006 Timothy A. Canning - Novate, CA Hugo A. Hilgendorff - New York, NY First Scheduled: 08/16/2006 Decided: 9/20/2007 Case Summary: Claimant, a public customer, alleges fraud, negligence, breach of contract and

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Name of the Claimant Case Number: 01-05089 Kathleen Hoesley Name of the Respondent Hearing Site: Chicago, Illinois SG Cowen Securities, Corp., Lehman Brothers, Inc., and James Meyer REPRESENTATION OF PARTIES Claimant Kathleen Hoesley ("Hoesley") was represented by Paul J. Sussman, Esq. with law offices located in Chicago, Illinois. Respondent Lehman Brothers, I

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitrat:ion Between Name n^ Claimant: Francis Crotty 94-04483 Cohig & Associates Inc. Joseph M. Wolonowski Troy Lowman Claimant Francis Crotty represented himself. For Respondents Cohig & Associates, Inc. ("Cohig") and Troy Lowman ("Lowman"): Russell K. Bean, Esq. o£ Cohig & Associates, Inc., Englewood, CO Joseph M. Wolonowski ("Wolonowski") represented h

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In die Matter of die Arbitration Between Name of Claimant Wendy Diamond 94-04482 NameofRtssDondents Matthew J. Emanuel Emanuel and Company REPRESENTATION For Qaimant Wendy Diamond: Charles J. Hecht, Esq. of the law firm of Hecht Margolin & Steckman, P.C, New Yorlt City, N.Y. For Respondent Matthew J. Emanuel: Eric Emanuel, New York, N.Y. CASE INFORMATION Statement of daim