Finra FINRA DR In the Matter of Arbitration Between Case: Tom Taylor v. Bank of America Securities, Inc. Docket: 2004-015519 Attorneys: For Claimant(s): David Marek - New York, NY For Respondent(s): Steven Yarusinsky - Newark, NJ Date Filed: 6/7/2004 First Scheduled: 06/29/2006 Decided: 4/10/2008 Case Summary: Claimant a registered representative, alleges Respondent made negligent misrepresentations to him that he was an employee of the

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) The Ohio Company 95-05507 NameofRespondentfs^ Paul M. Messimer REPRESENTATION For Claimant, The Ohio Company ("Claimant"), Marion H. Little, Jr. Esq. of the firm Zieger & Carpenter located in Columbus, Ohio. Respondent, Paul M. Messimer ("Respondent"), appeared Pro Se CASE INFORMATION Statement of Claim filed: Novemb

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In tlie Matter of the Arbitration Between Name of Claimantf s^ Edna H. and W.R. Minor 94-04356 NameofResoondentfs) Pmdential Securities Inc Walter E. Ulbricht Gregory Curran REPRESENTATION For Claimants, Edna H. Minor and W.R. Minor ("Minor"): Douglas C. Broeker, Esq. of Sweetapple, Broeker & Vaikas, Miami, FL. For Respondents, Pmdential Securities, Inc. ("Pmdential"), Walter

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: J. Curtiss Pease, (Claimant) vs. Janney Montgomery Scott, LLC and Timothy W. Woodstock, (Respondents) Case Number: 01-04435 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, J. Curtiss Pease, hereinafter referred to as "Claimant": Kenneth J. McDonnell, Esq., Gould, Larson, Bennet, Wells & McDonnell, P.C., Essex, CT. Respondents, Janney Montgomery Scott,

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE:01-04432 David W. Hammel, Sr.> and Marilyn J. Hammel TTEES u/a/d 5/11/90 fbo Hammel Liv. Trust, claimants vs. Curt A. Blick, respondent. ATTORNEYS: Claimants appeared pro se, Rio Verde, AZ. For Respondent appeared in-house counsel, Richard Smith, Esq., New York, NY. DATE FILED: August 20, 2001 CASE SUMMARY: Claimants alleged that respondent misrepresented the amount of commission h

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Sean Hashem, Claimant v. J.B. Oxford & Company and Eric S. Ho, Respondents Case Number: 01-04430 Hearing Site: Los Angeles, California Nature of Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Steven L. Miller, Esq. Law Office of Steven L. Miller Encino, California For Respondents: J.B. Oxford & Company Jeffery Kob, Esq. Mill

Arbitration - case #2007-016683, Fahnestock & Co. Inc. a/k/a Oppenhe Page 1 ot I Finra ^ FINRA DR In the Matter of Arbitration Between Case: Fahnestock & Co. Inc. a/k/a Oppenheimer & Co., Inc. v Tony D. Cowley Docket: 2007-016683 Attomeys: For Claimant(s): Shana L. Burleson - Dallas, TX For Respondent(s): Tony D. Cowley - Frisco, TX Date Filed: 2/21/2007 First Scheduled: 12/12/2007 Decided: 3/24/2008 Case Simimary: Claimant, a member firm, alleg

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Norma Mogilefsky, Claimant v. H.D. Vest Investment Securities, Inc. and Robert Duitz, Respondents Case Number: 01-04429 Hearing Site: San Francisco, California REPRESENTATION OF PARTIES For Claimant: Irwin Stein Timothy A. Canning Novato, California For Respondents: Dennis J. Kelly Liner Yankelevitz Sunshine & Regenstreif, LLP San Francisco, California CASE I

N.A.S.D. AWARD NATIONAL ASSOCIA'nON OF SECURITIES DEALERS In the Matter of the Aibitraticm Between Alan R. and Nancy J. Tappen 94^100 ^^affgtfRfigpgBteit Thomas James Associates, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 4, 1994, Claunants Alan R. and Nancy J. Tsppen ("Claimants"), who ^ipeaied Pro Se, alleged that Reqxmdent Thomas James Associates, Inc. ("Respondent"), conbcted them

NASD. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In die Matter of the Arbitration Between Name of Claimant Walter Swenberg Dean Witter Reynolds, hic. Nations Securities hi ajclaun filed widi dw National Association of Securities Dealen. Inc. on Odober 4,1994. Qaunant. Walter Swenberg ('aaimaot'). who appeared Pro Se, alleged diat RMpondntt, Nations Securities ("NS") and Dean Witter Reynolds, Inc. ('DWR'), dki not property manage his account Qa