Arbitration N.A.S.D. AWARD NKTICNRL ASSOCIRIICN OF SilJJkiTlhB DEALERS In the Matter of the Arbitration Between Patricia J. Bowles vs. Nsmeof Kidder, Peabody & Co., Incorporated David I. Palmer National Association of Securities Dealers. Inc. NASD Financial Center 33 Whitehall Street New York. N.Y. 10004 FAX (212} 858-4389 Caseft 91-02934 For Claimant, Patricia Bowles: Michael L. Paula of Investors Arbitration Ser

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-03235 Ricardo L. Cornelia, Individually and on behalf of his IRA Name of the Respondent Hearing Site: Orlando, Florida Wachovia Securities, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Ricardo L. Cornelia, Individually and on behalf of his IRA, hereinafter referred to as "Claimant": W. Andrew Clayton, Jr.

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants David A. Morgan, individually, and Barbara R. Luken, as Trustee of the David A. Morgan Irrevocable Trust vs. Case Number: 06-02868 Hearing Site: Minneapolis, Minnesota Names of Respondents Sll Investments, Inc., Pacific Life Insurance Company, and Christopher Pettengill and Name of Cross-Claimant Pacific Life Insurance Company vs. N

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Cherylyn Browning Baker and 97-02184 Name of Respondents A.G. Edwards & Sons, Inc., and Timothy Newman _ OF Cherylyn Browning Baker ("Claimant") was represented by Charles C. Mihalek, Esq., Lexington, Kentucky. A.G. Edwards & Sons, Inc. ("AGE"), and Timothy Newman ("Newman") (jointly referred to as "Respondents") was represented by Catherine Hope Jo

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Advest, Inc. vs. Bruce Gittleman vs. J. Phillip Mappin Claimant Respondent Counter- Claimant and Cross- Claimant Respondent to Third Party Claim CASE 188-00164 Award On April 25, 1989, the undersigned arbitrators heard the controversy between the parties as set forth in submissions to arbitration signed by Claimant Advest. Inc. on

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-03706 Olde Discount Corporation, claimant vs. Ed Abrams, respondent. ATTORNEYS: For Claimant Olde Discount Corporation ("Claimant"), Aaron L. Kleid, Esq., Counsel for Olde Discount Corporation, Detroit, MI. Respondent Ed Abrams ("Respondent"), appeared Pro Se., Santa Monica, CA. DATE FILED: 08/12/1999 CASE SUMMARY: Claimant maintained that on July 19, 1994

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the Claimant Case Number: 03-05016 Rodney G. Meikrantz Name nf the Respondents Hearing Site: Philadelphia, PA Janney Montgomery Scott, LLC Peter Lucian Costanzo, Jr. Nature of the Dispute: Customer vs. Member and Associated Person. RF.PRF.SFNTATTON OF PARTTF.S Claimant, Rodney G. Meikrantz, hereinafter referred to as "Claimant", was represented by Daniel E. Bacin

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Nam* nf thp. riaimant fflSf-NinnVipr 03-00558 American Express Financial Advisors, Inc. nf thft jResponrientsAThiH-Party niai'mants Hearing Site- Charlotte, North Carolina Charles M. Pitts Lisbeth L. Cherrington nf the Third- Daniel Richardson Kevin F.Crowe William Karl Eychaner Nature of the Dispute: Member vs. Associated Persons KFPRF.SFNTT ATTOM D? P ARTTRS

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 05-03263 Lynn Messner Names of the Respondents Hearing Site: Boca Raton, Florida Morgan Stanley DW, Inc. William Messner Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF THE PARTIES For Lynn Messner, hereinafter referred to as "Claimant": Scott L. Silver, Esq., Blum & Silver, LLP, Coral Sprin

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Samson H. Sparks and Vicky L. Sparks vs. Case Number: 06-01539 Hearing Site: Chicago, Illinois Names of Respondents Stifel, Nicolaus & Company, Inc., and Todd A. Rinderer NATURE OF THE DISPUTE Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Samson H. Sparks and Vicky L. Sparks ("Claimants") was represented by Sean M. Keane,