Consent Award NASD Dispute Resolution In the Matter of the Arbitration Between: Russel B. Walcher and Gary D. Klubnik, (Claimants) vs. Prim Securities, Inc., Joe Lombardo and Matthew C. Brady, (Respondents) Case Number: 01-04875 Hearing Site: Cleveland, Ohio REPRESENTATION OF PARTIES Claimants Russel B. Walcher ("Walcher") and Gary D. Klubnik ("Klubnik"), hereinafter collectively referred to as "Claimants": Matthew J. Morelli, Esq., Ulmer & Berne, LLP.,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: riaimant Pase Number 00-01331 Peter J.. Camp Name of the Respondents Hearing .Site- Philadelphia, Pennsylvania Richard D. Carter, and First Union Securities, Inc. KP.PRFSFNTATFONT OF PARTTF.S Claimant Peter J. Camp, hereinafter referred to as "Claimant", was represented by Robert J. Donaghy, Esq., Attorney at Law, Newtown, Pennsylvania. Respondent Richard D. Carter ("Car

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Sheerson Lehman Bnittiere ha V. Efles & Mkiihai Beloyneh Attomeys: For CtahiieieW: SiBmn MeMn Esq. - New York. NY Fiirnei|MndiMt{4: DCNU J. Taytor Ebq. - Wtthinglon, DC Date RIed: 08i/ie»i Case Summary: Member Firm v. Customer. First Scheduled: oaQi/9i Decided: oa/ai/se • ctotoiant alagos noqpaymant of debt balance to imtrgln BwounL Product: OPT Market: N

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Rtohard Odd v. Legg Maaon Wood Walker Inc. a Josepli Vema Attorneys: For Claimanifi): Roman J. Koropey Eeq. - Bryn Mawr, PA Fer fteiponden(^: Dantol T. FiiBh Esq. - PhitodeipNa. PA Date Fiied: 09/12/91 First Scheduled: 02/20/02 Decided: 02/20/92 Case Summary: Cusiemer v. Member Firm A Registered Representative - denwnt CeitiftoaMs of Depioait when to realy they w

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Dora Penna and Josephine Jahler v Kidder, Peabody & Co. toe Attorneys: For Claimant(s): Ralph M Cursio Esq - Mineola, NY For Respondent(s): Richard Kelly Esq - New York, NY Date Filed: O8/22/91 First Scheduled: 06/10/92 Decided: 07/23/92 Case Summary: Claim asserts that respondent failed to Inform claimants of the types of investments being made, as well as the risks

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Michael and Marilyn Inganamort v Prudential Bache Securities, Inc., Paul Ruthfield and James Craffey Attorneys: For Claimant(s): Morgan W. Bentley Esq. - Newark, NJ For Respondent(s): Marc S. Dobin Esq. - New York, NY Date Filed: 09/03/91 First Scheduled: 05/20/92 Decided: 05/20/92 Case Summary: customer against Member Firm and Registered Representative for alleged F

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: James & Ovida Ctork v Dean Witter Reynokis Attorneys: For Ctobnant(s): James Ctork ^ . - Huntsvilto, AL For Respondent(s): Vtocent J. LaGreca Esq. - New York. NY Date Filed: O8/15/91 First Scheduled: 12/05/91 Decided: 12/26/91 Case Summary: claimants allege that respondent wUlfully wittiheto information regarding tiie tax ramiftoations assoctoted witii tt

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Gruntal & Company. Inc. vs. Pabto Rossetti Attorneys: For ClBknant(s): Emilto DeMeo Esq. - New Yori(. NY For Re8pondent(s): Joseph F. Keenan Esq. - New Yorit. NY Date Filed: 08/24/91 First Scheduled: 07/30/92 Decided: 07/30/92 Case Summary: Member Firm v Registered Representative (ex-emptoyee) seeking to recover balances allegedly due on promissory notes and lk)u

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Patricia Latimer v John Fratangelo Attorneys: For Clainiant(s): Patricto Latimer - Honeoye Falls, NY For Respondent(s): John Fratangelo - Rochester, NY Date Filed: 08/03/91 First Scheduled: 02/D6/92 Decided: 02/11/92 Case Summary: Ctoimant altoges ttiat Respondent without auttiorization soM, and purchased stock (equity) on her behalf amounting to $2,498.84. Produ

New York Stock Exchange Tn the Matter of Arbitration Between NYSE Case: Wllllam Kerr v Prudential Bache Securities Attorneys: For Claimant(s): Willtom Kerr - New York, NY FOr Respondent(s): Laurie Giolito Esq. - New York, NY Date Filed: 08/14/91 First Scheduled: O6/11/S2 Decided: 07/29/92 Case Summary: claimant alleges that he purchased shares of Prudential Bache High Yield Fund without being informed that the fund contained high-yto