N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of n almam-f s | Erma C. & Frank A. Volker and Diana McLean 89-02955 Name of Respondents] Edward D. Jones s, Co. Mark Burnsides John W. Bachmann CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. ("NASD") on or about October 23, 1989, Erma C. Volker, Frank A. Volker, and Diana McClean alleged as

N.A.S.D, AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant.] s] Earl w. & Crystal F. Chamberlain 89-02885 nf Shearson Lehman/American Express, inc. Janes Constantine CASE SOMMCT In a Statement of Claim filed with the NASD on October 18, 1989, Claimants Earl & Crystal Chamberlain alleged that Respondents placed than in a leveraged margin account investing in cannon stocks and the Sh

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Mary D. Tellers 94-03475 Name of Respondents Fidelity Brokerage Services, Inc. ' Edward F. Desmond REPRESENTATION For Claimant Mary D. Tellers ("Tellers"), Thomas J. Schuchert, Esq. and Marguerita Young- Jones, Esq. of Schuchert Humphreys, located in Pittsburgh, Pennsylvania. For Respondent Fidelity Brokerage Services, Inc.

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimants David D. Carey & Bonnie L. Carey David Bass, M.D., Cynthia Coccia, J. David Creedon, Richard Fazio, Eunice K. Greenstein, Robert E. Hiler, Donald A. and Joan E. Jacobs, Peter B. Janes, David Kaplan, Charles W. and Sheila Kasmer, Michael T. Shea, and Sidney Ulreich 94-05004 Name of Respondents

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: #99-03544 OLDE Discount Corporation, claimant vs. Laurence C. Gorman, respondent. ATTORNEYS: For Claimant, OLDE Discount Corporation, appeared in-house counsel, Aaron L. Kleid, Esq., Detroit, MI. Respondent, Laurence C. Gorman, did not respond to the Statement of Claim. DATE FILED: August 3, 1999 CASE SUMMARY: Claimant alleged that respondent failed to delive

Final Order NASD Regulation, Inc. In the Matter of the Arbitration Between: David C. and Julie Whitney, (Claimants) vs. Eric Sherman and Investors Associates, Inc., (Respondents) Case Number: 96-03396 Hearing Site: Boston, Massachusetts REPRESENTATION OF PARTIES Claimants. David C. Whitnev ("D. Whitnev") and Julie Whitney ("J. Whitney"), hereinafter collectively referred to as "Claimants", appeared pro se. Previously represented by: Leon W. Malinofs

Award NASD Dispute Resolution In the Matter of the Arbitration Between: 4411 Investments, LLC, Eyota Investments, Ltd., Esther Stuard and Cynthia Lindquist, Claimants v. Coordinated Capital Securities, Inc. and Laura J. Pendleton-Miller, Respondents Case Number: 06-03187 Hearing Site: Phoenix, Arizona Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES For Claimants: Mark D. Lammers, Esq. Lammers & Barkley,

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Jim R. Silvers vs. Case Number: 06-01670 Hearing Site: Houston, Texas Name of Respondent UBS Financial Services, Inc. NATURE OF THE DISPUTE Customer vs. Member REPRESENTATION OF PARTIES Jim R. Silvers ("Claimant") was represented by Bruce D. Oakes, Esq., Simmons Cooper, LLC, East Alton, Illinois. UBS Financial Services, Inc. ("Respondent" or

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between x x Stone 3lidg» Partnership I and x Robert B. Graham, Jr. x Claimants, x X CASE NO. vs. x 89-02577 x Shearson Lehman-Button, Inc. ' . x ORDER x Respondent. x CASE SUMMARY Claimants, Stone Ridge Partnership I("Stone Ridge") -and Robert B. vGraham, Jr. ("Graham"), alleged that Stone Ridge is a commodity rpool .organized by Graham, the com

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Lois J. Kipf Claimant(s) vs. 89-02515 Blinder, Robinson & Co., Inc. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Lois J. Kipf alleged that Respondent(s) Blinder, Robinson & Co., Inc. made unauthorized trades. Respondent(s) maintain that Claimant's losses, if any, were caused or contributed to by Claimant's own fault or co