NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Sandy Thaw Claimant vs. Allied Capital Corporation Michael K. Andresen Peter Mercaldi Respondents AWARD Case #89-02486 CASE SUMMARY Claimant alleges her broker Michael Andresen induced her to use her mother's money to invest in Data Display and CIP Holdings-unsuitable investments. She claims she was told the stock would be "manipulated" JLn

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Name of Deborah Callahan 89-02450 Hayne, Miller & Swearingen, Inc. William Swearingen Wes Hayne CASE StMMAfiY In a claim filed with the NASD on or about September 1, 1989, Deborah Callahan ("Claimant") alleged that Hayne, Miller and Swearingen, Inc., William Swearingen, and Wes Hayne ("Respondents"), fraudulently induced Claimant to purchase se

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Sondra Aronson Claintant(s) vs . 89-02412 Howard Edrich Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Sondra Aronson alleged that Respondent(s) Howard Edrich failed to follow Claimant's written instructions to liquidate her account. Respondent denies all allegations and maintains that the sell order in question was not

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Dean Witter Reynolds, Inc. Claimant vs. AWARD #89-02375 Rocco Scippa Respondent Case Summary Claimant Dean Witter Reynolds, Inc. alleged that Respondent Rocco Scippa failed to meet a series of margin calls in October and November of 1987. After the Respondent failed to meet the margin calls, Claimant liquidated Respondent's account creating a debit ba

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Names of Claimants Robert A. McKee and Janet M. McKee Case No. 99-03537 Names of Respondents J.C. Bradford & Co. Jerome Kittrell REPRESENTATION OF PARTIES For Robert A. McKee and Janet M. McKee, hereinafter referred to as "Claimants": Peyton D. Prospere, Esq. of Maxey, Wann, Begley & Fyke PLLC, Jackson, MS. For J.C. Bradford & Co. ("Bradford") and Jerome Kittrel

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Robert E. Wolters Claimant(s) vs. Newhard Cook & Co., Inc. Henry Newhard Respondent{s) NOTICE OF ARBITRATION AWARD 89-02661 CASE SUMMARY Claimant(s) Robert E. Wolters alleged that Respondent(s) Newhard Cook & Co./ Inc. and Henry Newhard failed to execute a sell order. Respondent (a) deny any and all liability to Claimant for any alleged lo

KJLS.O. HMD mftjft^^jfc^p \^~Jfl 0V S80QBI3CBS GBUU3C3 la tb» Jfettar of Uai Jtebitratlm Dr. 89-02*25 t-.. ft^Mfe lA^MviA V^«v J«ff tf^tafl AMVMW^AM e. Oy ^BOE m III Uf 'VI* OK OOBW» apBBgiUH • V CO. 1 M , fly . Ite.. ^glomnrl, GO. SML BloaB, tavin OODC «ad Mqa* QUpla «•» aoe of Clt% wto filed on or ibaat S^tMtMr 19* 1989. lUadw IcMam ft OB., 20 f 1990. ••^ >^.^B^^^B _ Mk^^^^J ^^^t^^^M ^•^^^^h^^^^^Bk^ ^«J tfta

Modified Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Kevin Liles and Glenesa Liles (Claimants) v. Prudential Equity Group, LLC f/k/a Prudential Securities, Inc., Andrew E. Samaiin, and Stephen Glynn (Respondents) Case Number: 04-07404 Hearing Site: Newark, New Jersey Nature of the Dispute: Customer v. Member and Associated Persons REPRESENTATION OF PARTIES Claimants Kevin Liles, Individually ("K. Liles") and Kevin

I NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 06-03907 . Barbara H. Eisenbud (Irving), (Claimant) vs. Keith McKay and Brinker Capital Securities, Inc., (Respondents) ATTORNEYS: Claimant appeared pro se, Sunrise, FL. For Respondents appeared in-house counsel Andrew S. Rogovin, Esq., Hinckley, Allen & Snyder LLP, Boston, MA. NATURE OF DISPUTE: Customer v. Member and Associated Person DATE FILED: August 25,2006 CASE SUMMARY

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE; 06-03380 Guy D. Mulford III, (Claimant) vs. Aegis Capital Corp., (Respondent) ATTORNEYS: Claimant appeared pro se, New York, NY. Respondent did not submit an Answer to the Statement of Claim. NATURE OF DISPUTE: Associated Person vs. Member DATE FILED: July 18, 2006 CASE SUMMARY: Claimant alleged that Respondent failed to repay monies owed for as compensation for earned commissions. Clai