N.A.S.D. AWARD NA'nONAL ASSOCUTION OF SECURITIES DEALERS In the Matter of the Aibitration Between Jimmy E. and Dorothy E. Putdie 94-05119 Dean Witter Reynolds, Inc. James Robert DiwUey, Jr. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December 7,1994, Claimants Jimmy E. and Dorothy E. Purdie, who ii^jpeared Pro Se, aOcged tbat Re^xmdents Dean Witter Reynolds, Inc. ("DWR") and James Robert Dudley, Jr.

N.A.S.D. AWARD NATIONAL ASSOCIA'nON OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Irene Morkunas Bmno G. Morkunas 94-05116 Name of Restx>ndents Murphy Favre, Inc. Robert Alfred Johnson, U Don Eliertson CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December 6, 1994, Claimants Irene Morkunas and Bmno G. Morkunas, POA ("Claimants"), through their represe

94-05115 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of Arbitration Between Name of riainiant.s Louis Licias and Rose Renaud Name of Restx>ndents NatWest Bank Wayne A. Degoumey REPRESENTATION Claimants Louis Licias and Rose Renaud (hereinafter collectively referred to as "claimants") appeared pro se. For re.spondents NatWest Bank ("NatWest") and Wayne Degoumey ("Degoumey") appeared Thomas J. Luz, Esq.

N.A.S.D. AWARD .NATIONAL ASSOCUTION OF SECLTUTIES DEALERS In the Matter of the Arbitration Between Name nf Claimant Prudential Securities. Inc. 94-05113 Paul C. Jones CASE SUMMARY In a claim filed with the Nadonal Association of Securides Dealers, Inc. on December 6, 1994 Claimant Prudential Securides, Inc. ("Claimant"), through its representative and in-house counsel. Patricia Ostuni, Esq., alleged diat Respondent Paul C. Jones ("Respondent"),

NASD Arbitration No. 94-05112 N.A.S.D. AWARD NATTONAT, ASSOCIATION OF SECURITIES DEALERS. INC!. In the matter of the Arbitration Between Mame of Claimant: la) Prudential Securities Incorporated Name of Respondent(s) James Louderback REPRESBMTATI9W For Claimant: Patricia A. Fitzpatrick, Esq., Prudential Securities Incorporated, New York, New York For Respondent: No appearance by Respondent. CASE INFORMATION Statement of Claim

NATIONAL ASSOCIATION OF SECURITIES DEALERS AWARD In the Matter of the Arbitration Between SDAS, Inc. Claimant, NASD No. 94-5111 Fidelity USA Brokerage, Respondent. Representation For Claimant: B. Dean. Ansari of SDAS, Inc., San Francisco, Califomia For Respondent: Kenneth MacDonald. Esq. of Fidelity USA Brokerage, Boston, Mass. Case Information Statement of Claim fded: November 30,1994 Claimant's Submission Agreement signed: November

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Kraig Anderson, Individually and as the Guardian and Conservator of Kim Anderson, an Incompetent, the Heirs of Barbara Kreimer, Deceased, and First Nebraska Trust Company, Trustee of the Barbara N. Kreimer Revocable Living Trust and 01-04273 Omaha, Nebraska Dain Rauscher Inc., Dain Rauscher Corp., RBC Holdings (USA), Inc., Peter Armenio, John C. Appel, Irving Weis

N.A.S.D. REGULATION, INC. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Names of Claimants Alexis Spiritas and Spiritas A/K 1991 Trust and 94-05105 Name of Respondent CS First Boston Corporation and Names of Third-partv Respondents Manin X. Zacarias Steven F. Spiritas REPRESENTATION Claimant, Alexis Spiritas and Third-party Respondent, Steven F. Spiritas were represented by Peter W. Lyn

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the ^Vrbitration Between Charles Yet Claimant, V. No. 94-05102 Steven R. Goldstein, Smith Barney Shearson, Inc., and Axiom Partners, Inc. Respondents. REPRESENTATION OF PARTIES Claimant Charles Yet ("Claimant") was represented by Anttiony V. Trogan, Esq,-J5f Weisman, Trogan, Young & Schloss located in Bingham Farms, Michigan. Respondents Steven R. Goldstein ("G

Finra FINRA DR In the Matter of Arbitration Between Case: Lehman Brothers Inc. v. Scott Livingston v. Lehman Brothers Inc. Dodcet 2006-016589 Attomeys: For Claimant(s): Victor A. Machcinski - New York, NY For Respondent(s): Daniel J. Donovan - Baltimore, MD Date Filed: 9/8/2006 First Scheduled: 08/13/2007 Derided:!/2^/08 Case Summary: Claimant, member firm, alleges former employee, registered representative, breached his contract in fail