N.A.S.D. AWARD NATIONAL ASSOCUTION OF SECURITIES DEALERS In the Matter of the Aibitration Between Name of Claimantfs^ Gail A. Teague 94-04014 Name of Respondentf s) Stan Siciliano For Claimant Gail A. Teague ("Teague"): Claimant, of Smyrna, Georgia, appeared Pro Se. For Respondent Stan Siciliano ("Siciliano"): Glen A. Delk, Esq., of Ughtmas & Delk, located in Atlanta, Geoigia. CASE INFORMATION Statement of Claim filed: October 10, 19

H.A.S.D. AWARD NATIONAL AS.gOC:TATION OF SECURITIES DEAT.P.RS. TNC!. In the matter of the Arbitration Between Name of Claimant(a) Kenneth M. Hodges Trish B. Hodges NASD Arbitration No. 94-04013 Wamt* of Respondent fg> Prudential Securities, Inc. Donald Ritley REPRBSEMTATIQN For Claimants: Douglas M. Shepersky, Esq., San Diego, California For Respondents: Joseph S. Schuchert, Esq. and E. Scott Palmer, Esq., Keesal, Young & Log

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Jack & Evelyn Kelly, Jack & Ann Mendelsohn, and Jack Mendelsohn Golf Shop and 94-03991 Name of Respondent Rauscher Pierce Refsnes, Inc.. Kemper Securities. Inc., and Bradley D. Smith REPRESENTATION OF PARTIES Jack & Evelyn Kelly ("Keilys"), Jack & Ann Mendelsohn ("Mendelsohns"), and Jack Mendelsohn Golf Shop ("Gol

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Nyme nf tj'lj^ip^nn^ Michael Bell 94-03989 Name of Resixindent Laidlaw Equities Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on Sq)tember 29,1994, Claimant Michael Bell, who ^>peared Pro Se, alleged that Respondent Laidlaw Equities, Inc. hired him as a registered representative in August 1993 and

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between William R. Nester and NASD Case Number 94-03985 The Prudential Insm-ance Company of America and Pruco Securities Corporation REPRESENTATION OF PARTIES Claimant, William R. Nester wzs represented by A. Daniel Woska, Esq. of Woska, Hasbrook, Dowd & Underwood located in Oklahoma City, Oklahoma. Respondents, Prudemial Insurance Company of America and

NATIONAL ASSOCIATION OF SECURITIES DEALERS AWARD In the Matter of the Arbitration Between Keith R. Jenkin and Lana G. Jenkin, Claimants, NASD No. 94-3983 Dean Witter Reynolds, Respondent. For Claimants: Pro se, San Marcos, California For Respondent: Janet Epstein, Esq. of Dean Witter Reynolds, Inc., (DWR) San Francisco, California Case Information Statement of Claim filed: September 22, 1994 Claimants' Submission Agreement signed: Se

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between NlPf9fg'it''"a"^S Eugene Byers II and Derek Byers 94-03978 ^aqeyfl^i Cohig & Associates Inc. Qiristopher Medina For Claimants Derek Byers and Eugene Byers, II Qiereinafter referred to as "Claimants") appeared Randall J. Perry, Esq., Rutherford, NJ. For Respondents Cohig & Associates ("Cohig") and Christopher Medina ("Medina") appeared Russell

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 01-04420 Gregory Biume, Name nf the RespnnHents Hearing Site: Houston, Texas Deutsche Bane Alex Brown, and David Mucha, OF PAPTJFS Claimant Gregory Blume ("Blume"), hereinafter referred to as "Claimant," was represented by Brian Turner, Esq. of Law Office of Brian Turner located in Austin, Texas. Respondents Deutsche Bane Alex

Finra FINRA DR In the Matter of Arbitration Between Case: Prudential Equity Group, LLC f/k/a Prudential Securities Incorporated v. Ronald D. Redivo v. Prudential Equity Group, LLC f/k/a Prudential Securities Incorporated Docket: 2004-015093 Attomeys: For Claimant(s): Steven P. Gomberg - Chicago, IL For Respondent(s): Frank Lewis - Phoenix, AZ Date Filed: 2/23/2004 First Scheduled: 06/15/2005 Decided: 2/29/2008 Case Summary: Member Firm v

Finra FINRA DR In the Matter of Arbitration Between Case: Recruiting Services, Inc. v. Wachovia Securities, LLC Docket 2007-016774 Attorneys: For Claimant(s): Martin Franks - Delray Beach, FL For Respondait(s): David ]. Rice - Richmond, VA Date Filed-7/2/2007 First Scheduled: 03/10/2008 Decided: 3-21-08 Case Summary: Non-Member Claimant, an employee recruiting services company, alleges Member Firm Respondent &iled to pay the amount owed on a rec