Amended Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Frank A. Morris Case No. 98-04207 Hearing Site: Tampa, Florida Name of Respondent Raymond James & Associates, Inc. REPRESENTATION OF PARTIES Claimant Frank A. Morris ("Morris"), hereinafter referred to as "Claimant", appeared EEQ se. For Respondent Raymond James « & Associates, Inc. ("Raymond James"), hereinafter referred to as "Respondent"

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 98-04206 Access Financial Group, Inc., claimant vs. Vincent Shoenberg, respondent. ATTORNEYS: For Claimant Access Financial Group, Inc. ("Claimant") appeared in-house counsel Andrew S. May, Esq., Chicago, IL. Respondent Vincent Shoenberg ("Respondent") did not respond to Claimants Statement of Claim. DATE FILED: 11/09/98 CASE SUMMARY: Claimant alleged that re

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 98-04205 Thomas P. Tuttle, Claimant vs. Wall Street Financial Group, Inc., Respondent. ATTORNEYS: Claimant, Thomas P. Tuttle, ("Claimant"), appeared Pro Se., DeWitt, NY. Respondent, Wall Street Financial Group, Inc. ("Respondent"), appeared through its President, Todd 0. Everts, Rochester, NY. DATE FILED: November 9, 1998 CASE SUMMARY: Claimant alleged that Respondent failed to pay co

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Mychal S. Lahey, Claimant vs. Suretrade, Inc., Respondent. Case Number: 99-03845 Hearing Site: San Francisco, CA REPRESENTATION OF PARTIES Claimant, Mychal Lahey (hereinafter referred to as "Claimant"): In Pro Per, 2886 Cussick Avenue, Chico, CA. Respondent, Suretrade, Inc. (hereinafter referred to as "Respondent"): Cara L. Finan, Esq., Keesel, Young & Logan, Four Embarcadero Cent

Award NASO Dispute Resolution In the Matter of the Arbitration Between: Alexi Williams-Howie, Claimant v. Ameriprise Financial Servies, Inc., Respondent Case Number: 06-04697 Hearing Site: San Francisco, California Nature of the Dispute: Associated Person v. Member REPRESENTATION OF PARTIES For Claimant: Thomas M. Campbell, Esq. Smith Campbell, LLP New Yoric, New York Christine A. Robison, Esq. Law Office of Christine A. Robison San Jose

stipulated Award NASD Dispute Resoiution In the Matter of the Arbitration Between: Theodore M. Seidman, Individually and on behalf of the Theodore M. Seidman Family Trust and the Theodore M. & Ellen F. Seidman Charitable Trust, Claimants v. Commonwealth Financial Network, Respondent Case Number: 06-00725 Hearing Site: Los Angeles, California Nature of the Dispute: Customers v. Member REPRESENTATION OF PARTIES For Claimants: Robert A. Uhl, Esq. A

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Sandra L. Crook, Claimant v. A.G. Edwards & Sons, Inc. and Douglas A. Potter, Respondents Case Number: 05-00771 Hearino Site: San Francisco, California Nature of the Dispute: Associated Person v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Raymond N. Stella Eriach, Esq. Law Offices of Raymond N. Stella Eriach, Esq. San Francisco, California For R

AWARD . NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Geraldean Goldberger, individually and as Trustee of the Geraldean E. Goldberger Revocable Trust, and 98-04198 Miimeapolis, Miimesota Name of Respondents Dain Rauscher Incorporated William Parks REPRESENTATION OF PARTIES Geraldean Goldberger, individually and as Trustee of the GeraldeanE. Goldberger Revocable Trust, ("Claimant") was represente

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Amit Limaye and Tanuja Desai Limaye, (Claimants) vs. Walsh Manning Securities, LLC, Alexis Lyman, George Carlo, Eric Weiss, Frank J. Skelly III, Craig H. Gross, Wesley Allen Rusch, Richard T. Bredhoff, James T. Shanley, Paul Wasserman, and EAB Associates, LLC, (Respondents) Case Number: 98-04189 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Amit Limaye ("

Stipulated Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Karia R Gmenewald, (Claimant) vs- (Respondents). : 99-03837 . David Hoover and Van Rasper & Company, Karla E. Cmcnewald; Represented herself. N. David Hoover atid Van Kraper & Company: CarafinaA, Esq., Keesal Young & Logan, San Francisco, California. Statement of Claim filed on or about; August 20, 1999. Claimant signed the Uniform Submission Agreement: Augu