N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between John D. Archer 89-03390 Name of Respondent I s \ Shearson Lehman Hutton, Inc. This case was filed with the National Association of Securities Dealers, Inc. ("NASD") on Decanter 13, 1989 Claimant John D. Archer ("Archer") claims against Respondent Shearson Lehman Hutton, Inc. for a purchase of certain high risk bonds in his account that were uns

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Gun Agell Claimant ) ) "8. ) AWARD Charles Lieb and ) E.F. Button & Co., Inc. ) n.d.b.a. Shearson Lehman ) Hutton, Inc. Respondents ) CASE NO. 89-03389 ) SUMMARY OF ISSUES This case was filed with the National Association of Securities Dealers, Inc. ("NASD") on December 4, 1989. Claimant alleged that the trading conducted by Respondents from M

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASK: 99-05407 Barrett Matiingly, claimant vs. National Discount Brokers, respondent. ATTORNEYS: Claimant Barrett Mattingly {'Claimant"), appeared Pro Se.. Norwich, New York. For Respondent National Discount Brokers ("Respondent"), Douglas P. Lobel. Kelley Drye & Warren LLP, Washington, D.C. DATE FILED. 12/02/1999 CASE SUMMARY: Claimant maintained that on March 23,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 06-04505 Frank Bova, III David John Davis The David John Davis IRA Wilda W. Davis The Wilda W. Davis IRA Ronald B. Foster Linda F. Foster Name of the Respondent Hearing Site: New Orleans, Louisiana UBS Financial Services, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Frank Bova, III ("Bo

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 06-02786 Theodore Bauer, Individually and IRA Rollover Theodore R. Bauer TR DTD 12/9/99, Theodore Bauer & Eileen Bauer TTEE Eileen Bauer, Individually and IRA Rollover Eileen Bauer TR DTD 12/9/99, Eileen Bauer & Theodore Bauer TTEE Names of the Respondents Hearing Site: Orlando, Florida Morgan Stanley f/k/a Morgan Stanley DW John S. McNall

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-01591 Anthony R. Dill Names of the Respondents Hearing Site: Tampa, Florida Brett W. Coleman Thomas Ginas Nature of the Dispute: Customer vs. Associated Person. REPRESENTATION OF PARTIES For Anthony R. Dill, hereinafter referred to as "Claimant": Joseph T. King, Esq., Williams, Schifino, Magione & Steady, P.A., Tampa, Florida. For

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Ameritrade, Inc., Claimant v. Paul N. Redington, Respondent Case Number: 05-01459 Hearing Site: Seattle, Washington Nature of the Dispute: Member v. Customer REPRESENTATION OF PARTIES For Claimant: James J. Vihstadt Ameritrade, Inc. Omaha, Nebraska For Respondent: Jeff Smyth, Esq. Smyth & Mason, PLLC Seattle, Washington CASE INFORMATION Statement o

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-03573 Robinson Martin, claimant vs. Waterhouse Securities, Inc, a/k/a TD Waterhouse Investor Services, Inc., respondent. ATTORNEYS: Claimant Robinson Martin ("Claimant"), appeared Pro Se., Doraville, GA. For Respondent Waterhouse Securities, Inc. ("Respondent"), Kenneth Kirchner, Esq., of Kelly, Drye & Warren, LLP., New York, NY. DATE FILED: August 4, 1999

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Sam Salman Yono and Muntaha Yono vs. Names of Respondents Broad Street Securities, Inc., Stuart Gregory Burchard, and Alfred Mirza Allos Case Number: 05-02310 Hearing Site: Southfield, Michigan NATURE OF THE DISPUTE Customers vs. Member and Associated Persons REPRESENTATION OF PARTIES Sam Salman Yono and Muntaha Yono ("Claimants") were

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: David Cullen, Kathleen Cullen, individually and as co-trustee of the Margaret M. Rudel j Living Trust and trustee of the Margaret M. Rudel Charitable Trust, Margaret M. Rudel, individually and as co-trustee of the Margaret M. Rudel Living Trust and trustee of the Thomas Ryder Rudel Living Trust, and John D. Murchinson, IV (Claimants) vs. American Financial Advisors, I