AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant AllianceBernstein L.P. vs. Case Number: 07-00636 Hearing Site: Chicago, Illinois Name of Respondent James L. Oberheide NATURE OF THE DISPUTE Non-Member vs. Associated Person REPRESENTATION OF PARTIES AllianceBernstein L.P. ("Claimant" or "Bernstein") was represented by Thomas J. Momjian, Esq. and Christopher C. Coss, Esq., Coss & Momjian, LLP, Ba

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Floyd E. Lund and Lily K. Lund vs. Case Number: 05-04993 Hearing Site: Rapid City, South Dakota Names of Respondents Lombard Securities, Inc. and Financial Network Investment Corporation NATURE OF THE DISPUTE Customers vs. Members REPRESENTATION OF PARTIES Floyd E. Lund and Lily K. Lund ("Claimants") were represented by Anthony P. Bolson, Esq.

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Daniel Eugene Berce vs. Case Number: 05-00733 Hearing Site: Dallas, Texas Names of Respondents Deutsche Bank AG London and Deutsche Bank Alex. Brown Inc., n/k/a Deutsche Bank Securities, Inc. NATURE OF THE DISPUTE Customer vs. Non-Member and Member REPRESENTATION OF PARTIES Daniel Eugene Berce ("Claimant") was represented by Robert L. Ketchan

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Angelo Chris Angelou & Elaine Georgilas 96-01125 Name of Respondents) Pacific Brokerage Services Inc. CASE SUMMARY In a case filed with the National Association of Securities Dealers Inc. on March 14, 1996, Claimants Angelo Chris Angelou and Elaine Georgilas ("Claimants"), who appeared Pro Se, alleged that Respondent Pacific

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Mohammed Selim, Gamal Selim, and Ali Elkhateeb, (Claimants) vs. Continental Broker-Dealer Corp. and Al Sharif a/k/a Ashraf Sharif, (Respondents) Case Number: 99-03635 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Mohammed Selim ("M. Selim"), Gamal Selim ("G. Selim"), and AH Elkhateeb ("Elkhateeb"), hereinafter collectively referred to as "Claimants", ap

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Frances A. Rose, Trustee of Frances A. Rose Trust u/a/d May 24, 1993, Claimant, v. No. 96-00097 A.G. Edwards & Sons, Inc. and Timothy Nummer Respondents. REPRESENTATION OF PARTIES Claimant Frances A. Rose, Trustee of Frances A. Rose Trust u/a/d May 24, 1993 ("Claimant") was represented by Laurence S. Schultz, Esq. of Driggers, Schult

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS # 1. — . In the Matter of the Arbitration Between Name of Claimant Dominic T. Intag 96-01654 Name of Respondents Vision Investment Group Cantella & Co. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 16, 1996, Claimant Dominic T. Intag ("Claimant"), who appeared Pro Se, alleged that on August 1, 1995, Respondent Vision Inves

Award NASD Dispute Resolution In the Matter of the Arbitration Between: James B. Dusel, Claimant v. Raymond James Financial Services, Inc., Wachovia Securities Financial Network, LLC f/k/a JWGenesis Financial Services, Walter P. Thompson, and David E. Gorsuch, Respondents Case Number: 05-06636 Hearing Site: Honolulu, Hawaii Nature of the Dispute: Customer v. Members and Associated Persons REPRESENTATION OF PARTIES For Claimant: James B. Dusel In

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Michael L. Moore, Claimants v. RBC Dain Rauscher Inc., Deborah Ann Moore, Darryl Wayne Traweek, and Maureen Coleman Halverson, Respondents RBC Dain Rauscher Inc., Counter-Claimant v. Michael L. Moore, Counter-Respondent Case Number: 06-03737 Hearing Site: Houston, Texas Nature of the Dispute: Customer v. Member and Associated Persons Nature of the Dispute: Member v. Custo

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Linda M. Olson, Claimant v. Prudential Equity Group, LLC, Respondent Case Number: 06-00528 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member REPRESENTATION OF PARTIES For Claimant: Barry K. Rothman, Esq. Law Offices of Barry K. Rothman Los Angeles, California For Respondent: Fernanda L. Schmid, Esq. Folger Levin & Kahn LLP Los Angeles, C