NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Morgan, Keegan & Company, Inc., Claimant, v. No. 95-02465 Townes & Co., Inc., and Ed Lewis, Respondents. REPRESENTATION OF PARTIES Morgan, Keegan & Company, Inc. ("Claimant") was represented by David M. Minnick, Esq., of Morgan, Keegan & Company, Inc., Memphis, Tennessee. Townes & Co., Inc. ("TCI") was represented by Robert A. Udelsohn, E

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Florence Wells 95-02439 Name of Respondent Kidder, Peabody & Co., Incorporated CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 17, 199S, rminmit Florence Wells ("aaimant"), who appeared Pro Se, alleged diat Reqxmdatt Kidder, Peabody & Co., Incorporated ("KPC"), through a representa

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of Arbitration Between FRANK STORC Claimant(s) and F.D. ROBERTS SECURITIES, INC. GARY TUCKER, GARRISON BYE, DAVID DESCHINO & LENNY TUCKER Respondent(s) NASD No. 90-00239 CASB SnMMARY In a claim filed with the National Association of Securities Dealers, Inc. ("NASD") on or about January 22, 1990 Claimant FranJc Store ("Store") alleged that Respondents F.D. Roberts Secu

N.A.S.D. AWARD NATTONAI. ASSOCTATTON OF .SECURTTrFS DEALFR.S. TNC. In the matter of the Arbitration Between Name nf Claimant.^ Frank and Patricia Michelena NASD Arbitration v. No. 91-03736 Name of Respondents Merrill Lynch, Pierce, Fenner 8c Smith, Inc. and Lisa Butler REPRESENTATION For Claimants: James F. McGee, Esq., McGee & Associates, Newport Beach, California For Respondents: Michael C. Licosati, Esq., Keesal, Young & Logan

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Diana A. Foster, Individually and as Trustee of the Diana A. and John A. Foster Trust Dated 9/3/86, Claimants v. SunAmerica Securities, Inc. and Ronald P. Obernolte, Respondents Case Number: 01-04243 Hearing Site: San Francisco, California REPRESENTATION OF PARTIES For Claimants Scott R. Shewan, Esq. Born, Pape & Shewan, LLP Clovis, California For Respondents: Bet

Finra FINRA DR In the Matter of Arbitration Between Case: Hannah Kestenbaum v. Wachovia Securities Docket2007-016726 Attomeys: For Claimaiit(s): James R. Hubbard - New York, NY For Respondent(s): Todd Ratner - Richmond, VA Date Filed: 4/25/2007 First Scheduled: 12/05/2007 Decided: i / 9 / Q 8 Case Summary: Non-member Claimant, executrix of her late husband's estate, alleges Respondent member firm is withholding benefits owed to her from her husb

Finra ^ FINRA DR In the Matter of Arbitration Between Case: Chad L. MacDonald v. Credit Suisse First Boston, LLC f/k/a Credit Suisse First Boston Corporation and Prudential Securities, Inc. Docket: 2003-014479 Attomeys: For Claimant(s): Eliot Goldstein - Cabin John, MD For Respondent(s): Jackie W. Perrell - Washington, DC Lawrence Portnoy - New York, NY Date Filed: 9/17/2003 First Scheduled: 11/08/2005 Decided:i /1 s / o 8 Case Summary: Clai

Finra FINRA DR In the Matter of Arbitration Between Case: Philip Bloom, Keith Bright-IRA, Keith Bright-Trust, Donald Brooks, Frank Browning, William Cerone, Mark Colasuonno, Angelo Costanza, William Donahue, Sr., William Donahue, Jr., Neal Ellatrache, William Francis George Wayne Graveline, George William Graveline, Steve Henry, Evangeline Hidalgo, Vince Johnson, Vince Johnson - Trust, Thomas Kelly, Joseph Kennedy - Joint, William Kennedy IRAs, Norman Klaparda,

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf thp riaimant rasa Number- Q1 -04240 John J. Fitzgerald, III Name of thp Ppspnndents Hearing Site! Baltimore, Maryland Salomon Smith Barney, Inc., Gregory J. Beal, Jr., and Michael L. Clabaugh REPRESENTATION OF PARTIES Claimant John J. Fitzgerald, El, hereinafter referred to as "Claimant", was represented by Thomas E. Lynch, III, Esq. and G. Randall Whirten

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant / Counter-Respondent Michael T. Trefny, as Co-Trustee of MBM Investment Corporation and Case Number: 00-01353 Hearing Site: Houston, Texas Names of Respondents / Counter-Claimants Bear Stearns Securities Corporation Bear, Stearns & Co. Names of Third Party Claimants / Cross-Respondents > Bear Stearns Securities Corporation Bear, Stearns & Co.