N.A.S.D. AWARD NA-nONAL ASSOdAllDN OF SECURITIES DEALERS In tbe Matter of tiie Aitaittstkm Between Wilsoa CofEmu Mo>san KoBgm A Canqmy. Inc. and Jay S. Boyle 92-^141 riiHiMiit, WaiDtt Cofhnm wis iquBcaied t»y ViciorHkyalip, Hsq. and kttny S. NODer, Eiq. of Burr ft Fninaa* BJnnhghiin, AUam. RBaponJenti, M/xgn Keegn ft Cooiiiny, IK. and Jay S. Hioyle woe iqwaeuted by Divid.'M. Mionidc, Eaq. of Moigui KBCSBH ft Company, Inc., lliB State

Stipulated Award NASD Dispute Resolution, Inc. Roger W. Irvan, IRA v. Timoleon L. Nicholaou, Leonard & Company and First of Michigan Corp. Case Number: 99-03760 Hearing Site: N/A REPRESENTATION OF PARTIES Claimant Roger W. Irvan ("Claimant") was represented by Anthony V. Trogan, Esq., West Bloomfield, Michigan. Respondents Timoleon L. Nicholaou and Leonard & Company were represented by Dennis J. Levasseur, Esq. and William B. Forrest HI,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In die Matter of the Aifoitiation Between NameofClaimantfs) Susana H. Enriquez 94^5000 NameofResDondentfs^ Shochet Secuiides, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on November 28,1994, Claimant Susana H. Enriquez, who appeared Pro Se, allied that Req)ondent Shochet Securities, Inc. failed to timely execute a transaction for her. C

N.A.S.D. AWARD KATZOHAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Perry Coburn 94-04840 Name at Respondents Kemper Securities, Inc. Craig Avellar In a claim filed with the National Association of Securities Dealers, Inc. on December 21, 1994, Claimant Perry Coburn, who appeared Pro Se, alleged that in June of 1994, Respondent Craig Avellar ("Avellar") strongly recommended the purc

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-05207 William E. Wynkoop Name of the Respondent Hearing Site: Oriando, FL Merrill Lynch, Pierce, Fenner & Smith, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For William E. Wynkoop, hereinafter referred to as "Claimant": Kirk George Smith, Esq. and Christopher Harold Tovar, Esq., Shepherd, Smith & Edwards, LL

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Ronald G. Rasmussen, Gloria J. Rasmussen, and Ronald G. Rasmussen, IRA, Claimants v. Ameriprise Financial Services, Respondent Case Number: 06-02780 Hearing Site: Denver, Colorado Nature of the Dispute: Customers v. IVIember REPRESENTATION OF PARTIES For Claimants: Douglas A. Wolkin, Esq. Donald C. Oeagle, Esq. Oeagle & Wolkin, P.C. Parker, Colorado For Respondent: G

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Jeffery A. Topham vs. Name of Respondent T.D. Waterhouse Investor Services, Inc., a/k/a TO Ameritrade, Inc. Case Number: 06-01732 Hearing Site: Overland Park, Kansas NATORe OF THE PISPUTg Customer vs. Member Jeffery A. Topham ("Claimant") appeared pro se until July 10, 2006. On July 11, 2006, Gail E. Boliver, Esq, Boliver Law Firm, Marshallto

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number. 07-00228 John W. iVIcCord Names of the Respondents Hearina Site: Orlando, FL First New Yorl^ Securities, Co. Alan "Skip" Davidson Nature of the Dispute: Customer vs. Member and Associate Person. REPRESENTATION OF PARTIES For John W. McCord, hereinafter referred to as "Claimant": Charles C. Hunter, Esq., The Hayes Law Firm, P.C, Houston,

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Carmine Ricca and Mary Ricca (Claimants) vs. Adam Sanders, Andrew Grossman, Jim Kimberly, Salvator Tacher, Steven Vornea, Adam Drew Levy, and Peter James Rogan (Respondents) Case Number: 98-03031 Hearing Site: New York, NY REPRESENTATION OF PARTIES Claimants Carmine Ricca and Mary Ricca, hereinafter collectively referred to as "Claimants": Timotiiy J. Dennin, Esq., New Yor

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 05-02371 Jordan Weinerman Name of the Respondent Hearina Site: Boca Raton, Florida Morgan Stanley DW, Inc. d/b/a Morgan Stanley Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Jordan Weinerman ("Weinerman"), hereinafter referred to as "Claimant": Jeffrey Erez, Esq. and Jeffrey R. Sonn, Esq., Sonn & Erez, Fort Lauder