Finra FINRA DR In the Matter of Arbitration Between Case: Stanley Acker, David Acker, Arlene Acker and Karen Acker v Goldman Sachs Docket: 2006-016636 Attomeys: For Claimant(s): Bruce Schaeffer - New York, NY Robert D. Fenster - New City, NY For Respondent(s): Theodore R. Snyder - New York, NY Date Filed: 11/14/2006 First Scheduled: 06/12/2007 Decided: 2/19/2008 Case Summary: Claimant customers allege unsuitable equity investments, violations of

Finra FINRA DR In the Matter of Arbitration Between Case: Larry Steedman and Darlene Steedman v. McDonald Investments and John Warner Docket: 2007-016719 Attorneys: For Claimant(s): Larry Steedman - Hudson, OH For Respondent(s): Joseph S. Simms - Cleveland, OH Date Filed: 4/17/2007 First Scheduled: 08/30/2007 Decided: 2/27/2008 Case Summary: Customer claimants allege unsuitable investment recommendations and account mismanagement in conn

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claunants David and Linda Benjamin 94-04321 Name of Respondents Beacon Securities, Inc. Gary Donahue James M. Block Richard Chancis Steven Schwartz Edward Yamen Randy Ashenfaib REPRESENTA'nON For Claimants David and Linda Benjamin jqjpeared Howard Winfoer, Esq. Respondents Beacon Securities, Inc. ("Beacon") and Gary

N.A.S.D. AWARD NATIONAL ASSOCIA'nON OF SECURITIES DEALERS In the Matter of the Arbitration Between Max and Joanne Naegele 94-04318 Name of Respondent Carol Van Bmggen gASE SVMMA^Y In a claim fded with the National Association of Securities Dealers, Inc. on October 18, 1994, Claimants Max and Joabntf'Naegele, who appeared pro se, alleged that Respondent Carol Van Bmggen sold them an unsuitable investment. Claimants forther alleged that in August

N.A..S.n. AWARD NATTONA! A.S.SOrTATTON OF •SFrTTRrnPS HPAT FPS TMC In the matter of the Arbitration Between Namg nf Clflinianr Marie Zalewski, Trustee of the Marie Zalewski Revocable Livmg Trust Mnnift nf Bespnndfinfs Dean Witter Reynolds, Inc. & Jack Lentz NASD Arbitration No. 94-04315 RFPRF-SENTATinN For Claunant: David M. Grey, Esq. Huner, Cooper & Reynolds Irvine, California For Respondents: Davki P. Restamo, Esq. and Darcy J. Go

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 01-04388 H & R Block Financial Advisors. Inc., claimant vs. Michael Stromberg, respondents. ATTORNEYS: For Claimant appeared in-house counsel, Kurt M. Miller, Esq., Detroit, Ml. Respondent did not appear. DATE FILED: August 20, 2001 CASE SUMMARY: Claimant alleged that they were required to liquidate the respondent's account when he failed to meet margin requirements leaving a debit ba

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In tiie Matter of the Arbitration Between Name of Claimants Robert Saxon and Mary Jane Saxon 94-04314 Dean Winer Reynolds, Inc.; James C. Banda REPRFJSENTATTON For Claimants: Robert Saxon and Mary Jane Saxon ("Saxon") appeared pro se. For Respondents: Dean Witter Reynolds, Inc. ("Dean Witter") and James C. Banda ("Banda") were represented by Wendy R. Robinson, Esq. of Dean Witter Reyn

N.A.S.D. AWARD NATIONAL ASSOCUTION OF SECURITIES DEALERS In the Matter of the Aibitration Between NflmenfriaimantrO Alvaro and Myriam Reyes 94-04309 Geldennan Securities, Inc. Alex Dorian Dabbah Securities Coip Geklexman Inc. • For CUumants: Myriam and Alvaro R^es: JOQ S& by Myriam Reyes. For Respondent: Dabbah Securities, Inc. ("Dabbah"): Steven Dabbah. CASE INFORMATION Statonent of Claim filed: October 18, 1994. Claimants' Subm

N.A.S.D. AWARD NA'nONAL ASSOOA'nON OF SECURITIES DEALERS In die Matter of die Arbitration Between N«Bf9fClMIBaafi Casper F. Kovarik, Jr. Teresa M. Kovarik 94-04308 N«M9fRHWlriWB Bear Steams &. Conqmny Russdl A. Kaufinan L.C. W^ard & Co., Inc. gASfESVMMAKY In a claun filed with die National Association of Securities Dealers, Inc. on October 17,1994, Qaimams Casper F. and Teresa M. Kovarik CQaimants"), who qipeaied Pro Se, alleged tiia

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Maner of the Aibitration Between Name of Claimant Patricia Goldbortin 94-04307 Name of Respondent Joseph W. Ebervein, Sr. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 17, 1994, Claimant, Patricia Goldbortin, who appeared Pro Se, alleged that Respondent, Joseph Ebervein made misrepresentations and omissions and invested her m