Award NASD Dispute Resolution In the Matter of the Arbitration Between: Timothy Damien Moran, Claimant v. Richard Alan McKnight and Mary Helen Whited, Respondents Richard Alan McKnight, Counter-Claimant v. Timothy Damien Moran, Counter- Respondent Case Number: 06-02960 Hearing Site: Phoenix, Arizona Nature of the Dispute: Associated Person v. Associated Person and Non-Member Associated Person v. Associated Person REPRESENTATION OF PARTIES Fo

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: 1-800DAYTRADE.COM., Incorporated ("Claimant") v. James R. Elliot (Respondent) Case Number: 99-03963 Paper Case REPRESENTATION OF PARTIES Claimant 1-800DAYTRADE, Incorporated ("I-800DAYTRADE"): Richard Lewins, 1- 800DAYTRADE, Richardson, Texas. Respondent James R. Elliot ("Elliot") was pro se. CASE INFORMATION Statement of Claim filed on or about: September 13, 1999 Stateme

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Trudy A. Kalac and Richard M. Kalac, Claimants v. American E}q)ress Financial Advisors and Gregoiy D. Hogue, Respondents Case Number: 04-03420 Hearing Site: Portland, Oregon Nature of the Dispute: Customers v. Meml)er and Associated Person REPRESENTATION OF PARTffiS For Claimants: B. Scott Whipple, Esq. Schwabe, Williamson & Wyatt, P.C. Portland, Oregon For Respondent Am

Stipulated Award NASD In the Matter of the Arbitration Between: Names of the Claimants Case Number: Daniel E. Brill and Miriam Brill 99-03961 Names of the Respondents Hearing Site: UBS PaineWebber, Inc. and Jason B. Cohen Boca Raton, FL REPRESENTATION OF PARTIES For Daniel E. Brill and Miriam Brill, hereinafter collectively referred to as "Claimants": Bernard Egozi, Esq., Mandel & McAliley L.L.P., Miami, FL. For UBS PaineWebber, Inc. ("PW") and

N.A.S.D. AWARD In t:]ie Mat:cer of t:he Arbitration Between Helen Siudyla 91-01542 Name of Regpopdeotg Robert Silverman Butcher & Singer, Inc. A.G. Edwards & Sons, Inc. RBPRBSBMTATIQN For Claiiaant Helen Siudyla: Charles Bennett, Esq. of the law firm of Apple and Apple, P.L. For Respondent A.G. Edwards & Sons, Inc.: William S. Port, Esq. For Respondents Butcher & Singer, Inc. and Robert Silverman: Paula Shaffner, Esq. of the law firm

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimants Hiroo K. Patel Shri Sai Krupa Case No. 99-03948 Name of Respondents Fidelity Brokerage Services, Inc. Hearing Location: Pittsburgh, Pennsylvania REPRESENTATION OF PARTIES Claimants Hiroo K. Patel ("PateD and ShrL Sai Krupa Partnership ("Krupa") were represented!u by Thomas G. Michalek, Esq. of the law finriof>MichaIekrSehnippert & Associates, P

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Gary J. Stanko (Claimant) vs. American investment Services. Inc. and William James O'Brien (Respondents) Case Number: 98-04314 Hearina Site: Chicago. Illinois REPRESENTATION QF PARTIES Gary J. Stanko ("Stanko"): Arthur E. Rosenson, Esq., Brandwein, Cohen, Grossman, and Rosenson, LLC, Chicago, Illinois. Originally represented by John A. Simonetti, Esq., Grossman and Friedman, New Y

Award NASD Dispute Resolution in the Matter of the Arbitration Between: Name of the Claimants Case Number: 03-04043 R. Vance Hall and Marilyn Clari( Hail Name of the Respondents Hearina Site: Kansas City, Missouri A.G. Edwards & Sons, Inc., and James R. Wiklund NATURE OF THE PI^PUT^ Customer v. Member Finn and Associated Person REPRESENTATION QF PARTIES Ronald R. Leaders. Esq., of the finn Buckley and Leaders located in Vashon, Washingto

AWARD NASD Reguiation, Inc. CASE: 98-04670 Prudential Securities Incorporated, claimant vs. Rus.s L. Johnson, respondent. ATTORNEYS: For claimant appeared in-house counsel. Stephen T. Johnson. Esq., Dallas. TX. Respondent appeared Pro Se, TuLsa. OK. DATE FILED: December 8. 1998. CASE SUMMARY: Claimant alleged that respondent failed to repay the remaining balance due according to the Promissory Note and Settlement Agreement. Claim Data Award

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE:99-03945 Philip Greenbaum, and Lynne Greenbaum claimants vs. Citicorp Investment Services, Inc., respondent. ATTORNEYS: Claimants appeared Pro Se through Philip Greenbaum, Hollywood, FL. For respondent appeared in house counsel, John Baumgartner, Esq., Long Island City, NY. DATE FILED: August 27, 1999 " "~ " ~~ CASE SUMMARY: Claimant alleged that respondent failed to properly execute t