Award NASD Dispute Resolution In the Matter of the Arbitration Between: Michael Kaye, Claimant v. Independent Financial Group, LLC, Alan S. Bernstein, Tara L. Crane and Granite Capital Management, Respondents Case Number: 05-02571 Hearing Site: Phoenix, Arizona Nature of the Dispute: Customer v. Members and Associated Persons REPRESENTATION OF PARTIES For Claimant: Investor's Recovery Specialists, Inc. Robert E. Karoly Vero Beach, Florida Lo

STIULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Ernest L. Riley and Hazel Louise Riley vs. Names of Respondents H&R Block Financial Advisors, Inc. and Todd Alan Bukaty and Name of Third-Party Claimant Todd Alan Bukaty vs. Name of Third-Party Respondent James Riley Case Number: 04-01809 Hearing Site: Kansas City, Missouri NATURE OF THE DISPUTE Customers vs. Membe

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Joseph A. Frederick vs. Case Number: 06-01935 Hearing Site: Charleston, West Virginia Names of Respondents Ferris, Baker Watts, Inc. and Robert P. Lear NATURE OF THE DISPUTE Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Joseph A. Frederick ("Claimant") was represented by Stephen P. Meyer, Esq., Meyer & Ford, Charleston,

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant John Rutherford vs. Case Number: 06-00692 Hearing Site: Dallas, Texas Name of Respondent Edward D. Jones & Co., L.P. NATURE OF THfE DISPUTE Customer vs. Member REPRESENTATION OF PARTIES John Rutherford ("Claimant") was represented by Kirk G. Smith, Esq. and Christopher P. Porter, Esq., Shepherd Smith & Edwards, LLP, Houston, Texas. Edward D.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-07145 Barbara Scherz Names of the Respondents Hearing Site: Boca Raton, Florida DP Asset Management, Inc. Jeffrey Todd Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Barbara Scherz, hereinafter referred to as "Claimant": Alan J. Foxman, Esq., Finkelstein, Feil & Foxman, LLP, Boca Raton,

Award NASD Regulation. Inc. In the Matter of the Arbitration Between: Thomas F. White & Co., Inc., Pamela Eye and Charles Eye, Claimants vs. Hossein Niakossary, Respondent. Case Number: 99-03694 Recorded Telephonic Hearing REPRESENTATION OF PARTIES Claimants, Thomas F. White & Co., Inc., "White & Co.", Pamela Eye and Charles Eye, hereinafter referred to as "Claimants", were represented by Michael Bolgatz, Esq., of Thomas F. White & Co., Inc., San Fr

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-04652 Morgan Cody Name of the Respondent Hearing Site: Orlando, FL TD Ameritrade, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Morgan Cody, hereinafter referred to as "Claimant": Peg L. Yeates, Visalia, CA. For TD Ameritrade, Inc. ("TDA"), hereinafter referred to as "Respondent": James J. Vihstadt, Es

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 06-01124 Allegiance Financial Group, Inc. Rick Kent Todd Hicks Names of the Respondents Hearing Site: Atlanta, Georgia Keegan Michael Hennessy Citigroup Global Markets, Inc. d/b/a Smith Barney/Citigroup Nature of the Dispute: Non-Member and Associated Person vs. Member and Associated Person. REPRESENTATION OF PARTIES For Al

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-02708 Janney Montgomery Scott LLC Name of the Respondent Hearing Site: Orlando, Florida John Pascale Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES For Janney Montgomery Scott LLC, ("JMS") hereinafter referred to as "Claimant": Carrie L. Chelko, Esq. and Jim C. Creel, Esq., Janney Montgomery Scott LLC, Phila

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants Edward G. Killian and April J. Killian and Case Number 04-06894 Hearing Site: Southfield, Michigan Respondent Merrill Lynch. Pierce Fenner and Smith, Inc. NATURE OF DISPUTE Customers v. Member REPRESENTATION OF PARTIES Edward G. Killian and April J. Killian ("Claimants") were represented by James P. Graven, Esq., Toledo, Ohio, and Peter C. Rageas, Urso R