N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALEBS In the Matter of the Arbitration Between Leonard H. Clark and Angelena Clark 90-03414 NYLIFE Securities, Inc. Robert W. Galler, VP Jeffrie Ricketts For Claimant; In Pro Se For Respondent: Alan. R. Taxerman, Esq. Statement of Claim filed: December 3, 1990 Claimants' Submission Agreement signed on: January 25, 1991 Statement of Answer filed by Respondents, on: March 8, 1991 Resp

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ArMtfttton N.A.S.O. -WARD NWICNM. asaO&XSKB OP SBCURITIB OBAC£RS In th* Matter of the Arbitration Between rsfld? OL \^ifl inirtnf r s i Jsnss K. Moss Arthur Posner Prudential-Bsche Securities Inc. Prudential-Agriculture Inc. ) ) ) ) ) ) ) ) ) > ) ) ) * i "**'**m owwfVf 'DO* On* EM Browerd eoutcvini Suto 1000 < 305) 822.7391* Case NO. 90-00492 Case V*. W-OOJ27 Hsazd oe

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimants Mesirow Financial, Inc. and Mesirow Financial Holdings, Inc. and 04-05864 Chicago, Illinois Name of Respondents Michael J. Martin Nature of the Dispute: Member and Non-Member vs. Associated Person. REPRESENTATION OF PARTIES Mesirow Financial, Inc. and Mesirow Financial Holdings, Inc. ("Claimants") were represented by Ronald P. Kane, Esq.,

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimants Jeffrey D. and Janice Howes, and Kevin and Michelle King 97-05260 Name of Respondent Alex Brown & Sons, Inc. REPRESENTATION Jeffrey D. and Janice Howes (the "Howes"), and Kevin and Michelle King (the "Kings") (jointly referred to as "Claimants") were represented by Rosemary J. Shockman, Esq., and John McKeegan, Esq. Of Shockman & McKeegan, PC, Scottsda

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between ' Walter E. Brock Claimant(s) vs. 89-02019 Blinder, Robinson & Co., Inc. Respondent(s NOTICE OP ARBITRATION AWARD CASE SUMMARY Claimant(s) Walter E. Brock alleged that Respondent(s) Blinder, Robinson & Co., Inc. misrepresented material facts pertaining to an investment held with Respondent, and in addition alleged that the Respondent invested

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Edward Thering, (Claimant) vs. Advest, Inc. and Lee Bordeleau, (Respondents) Case Number: 99-03653 Hearing Site: Buffalo, New York REPRESENTATION OF PARTIES Claimant, Edward Thering, hereinafter referred to as "Claimant": Jon Louis Wilson, Esq., Law Office of Jon Louis Wilson, Lockport, NY and Corey J. Hogan, Esq., Hogan & Willig, PLLC, Amherst, NY. Respondents, Advest, In

"* KAlZCtOL N.A.S.D OP SBCDR1TIES la the letter of the Axbitrmtion V. 92-01361 Arbitration kf^Al^k^^l I •HUH 111 SeeuriUei NASO Ftnanoal Ctnttr 33WhHBhaU8trtet New YocK N.Y. 10004 FAX (212) 850-4388 Prudential Securities DBVid J. Millln Floor For StatsoMBt of Claim filed* Jtpril 16, 1992. firudntial SaeuritlMr Xoo.'s . Tte Jfcne o. Snail did not atteod the beac±ag. , 1991. signe

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Frank Coppola (Claimant) vs. Daren Dorval and Daniel Gambino (Respondent) Case Number: 06-02249 Hearing Site: Newark, New Jersey Nature of the Dispute: Associated Person vs. Associated Persons REPRESENTATION OF PARTIES Claimant Frank Coppola hereinafter referred to as "Claimant" appeared pro-se. Respondents Daren Dorval ("Dorval") and Daniel Gambino ("Gambino") hereinafter colle

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Safa Abdulrahman (Claimant) vs. Citicorp Investment Services and Achille Raspantini (Respondents) Case Number: 06-03327 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member and Customer. REPRESENTATION OF PARTIES Claimant Safa Abdulrahman hereinafter referred to as "Claimant": Michael J. Borrelli, Esq., Borrelli & Associates, P.C., Melville, NY.