STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Dale Reynolds, Marvin Friedman, Elisabeth Friedman, Robert Ure, RJLU Investments, Margo Walters, Kenneth Lightfoot, and Hans Bisewski vs. Case Number: 05-06401 Hearing Site: Dallas, Texas Name of Respondent CISC World Markets Corp. NATURE OF THE DISPUTE Customers vs. Member REPRESENTATION OF PARTIES Dale Reynolds, Marvin Frie

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Ryan White vs. Case Number: 06-04078 Hearing Site: Indianapolis, Indiana Name of Respondent OneAmerica Securities, Inc. f/k/a AUL Equity Sales Corp. NATURE OF THE DISPUTE Associated Person vs. Member REPRESENTATION OF PARTIES Ryan White ("White" or "Claimant") was represented by James J. Eccleston, Esq. and Jeffrey M. Gershon, Esq., Sh

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant/Counter-Respondent Bane of America Investment Services, Inc. vs. Case Number: 05-05894 Hearing Site: Dallas, Texas Name of Respondent/Counter-Claimant Christopher Hill NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES Bane of America Investment Services, Inc. ("BAI") was represented by Diane C. Fischer, Esq., Kane & Fis

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Cristina P. Tulio, Claimant vs. Merrill Lynch Pierce Fenner & Smith Inc. and Miles B. Potter, (Respondents). Case Number: Hearing Site: 99-03558 Houston, Texas REPRESENTATION OF PARTIES Claimant, Cristina P. Tulio, hereinafter referred to as "Claimant": was represented by Charles W. Getman Esq., of Magenheim, Batman, Robinson, Wrotenbery & Helfand, P.L.L.C. Respond

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Judith E. Suponchick vs. Case Number: 05-04680 Hearing Site: Omaha, Nebraska Names of Respondents SunAmerica Securities, Inc., Douglas DeWayne Peterson, and Portfolio Strategies, Inc. NATURE OF THE DISPUTE Customer vs. Member, Associated Person, and Non-Member REPRESENTATION OF PARTIES Judith E. Suponchick ("Claimant") was represented by Jere

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 06-03050 Gary M. Alvord and Lauren A. Griffiths-Alvord, (Claimants) vs. Arthur Gaer, (Respondent) ATTORNEYS: Claimants appeared pro se, Lake Oswego, OR. For Respondent appeared Oppenheimer & Co. Inc.'s in-house counsel John T. McGuire, Esq., New York, NY. NATURE OF DISPUTE: Customers vs. Associated Person DATE FILED: June 24, 2006 CASE SUMMARY: Claimants alleged that Respondent negl

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Morgan Stanley DW Inc. f/k/a Dean Witter Reynolds, Inc. (Claimant) vs. Steven S. Novick (Respondent) Case Number: 05-04191 Hearing Site: Hartford. Connecticut Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant Morgan Stanley DW Inc. f/k/a Dean Witter Reynolds, Inc. hereinafter referred to as "Claimant": Ronald P. Kane. Esq., Diane C

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION QF SECURITIES DEALERS REGULATION, INC. CASE: 99-03554 Dean E. Han, claimant vs. Ameritrade, Inc., respondent. ATTORNEYS: Claimant Dean E. Hart ("Claimant") appeared Pro Se., Jericho, New York. For Respondent Ameritrade, Inc. ("Respondent"), Andrew Harger, Esq., Regulatory Attorney, Ameritrade, Inc., Bellevue, Nebraska. DATE FILED: 08/03/1999 CASE SUMMARY: Claimant alleged that on January 13, 1999, he pl

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant / Counter-Respondent Jyotsona K. Bhatt, Partner and Beneficiary of the J. Bhatt First Family Limited Partnership vs. Case Number: 04-06046 Hearing Site: Chicago, Illinois Names of Respondents / Counter-Claimants / Third-Party Claimants Fidelity Brokerage Services, LLC and Fidelity Distributors Corporation vs. Name of Third-Party Respondent Kishor

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants / Counter-Respondents Woodmen Financial Services, Inc. and Woodmen of the World / Omaha Woodmen Life Insurance Society vs. Names of Respondents / Counter-Claimants Ted W. Rudolph, Barton D. Rudolph, and Darrin B. Rudolph and Name of Third-Party Claimant Woodmen Financial Services, Inc. vs. Name of Third-Party Respondent Rudolph Brot