N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Cheryl Zarrella Dwyer Award vs. #93-02272 Name of Respondent First Investors Corporation REPRESENTATION^ For Claimant, Cheryl Zarrella Dwyer ("Claimant"), Jody L. Newman, Esq., from the law firm of Dwyer, Collora & Gertner, located in Boston, Massachusetts. For Respondent, First Investors Corporation ("Respondent"), Lawrenc

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of vhe Arbitration Between Name of Claimant First Albany Corporation Case# VS. 93-00005 Name of Respondent Gregory K. Buller For Claimant, First Albany Corporation ("Claimant"), Arthur F. Dicker, Esq., in-house counsel. Respondent, George K. Buller ("Respondent"), was not represented by counsel. CASE INFORMATION Statement of Claim filed: 12/31/92. Claimant's

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In The Matter of The Arbitration B e t w e e n ) A /' • LJitiJJ^CL k MCX/'U. /•/• O'ttX.na \ •" n ' •-/ n v ( 0 U ) Award Claimant(s) ) ) ) NASD No. vs. ) . /•• -i ) / ) 0 Respondent(s) ) SUMMARY OF ISSUES This case was filed on (Liu Id !??< ?. Cfaj'ma.rok> ^ ,^/rntrL C'tn 1'. ,-j a.na /lr/\ng — p rr i A-I rU^ /

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 06-00312 Max Raver Marcia Raver Names of the Respondents Hearing Site: Boca Raton, Florida Robert Keith Mann Pacvest Associates, Inc. Owen-Joseph Securities, Inc. Advisor's Capital Investment, Inc. Nature of the Dispute: Customer vs. Associated Person, Member and Non-Member. REPRESENTATION OF PARTIES For Max Raver and Marcia Ra

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Cora Crenshaw, Claimant v. Morgan Stanley DW Inc., Respondent Case Number: 05-06212 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member REPRESENTATION OF PARTIES For Claimant: Marc I. Zussman, Esq. Law Offices of Marc I. Zussman Los Angeles, California For Respondent: Melissa M. Maccarone, Esq. Morgan Stanley Law Division San Francisco, Ca

NASD REGULATION, INC. AWARD Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Morningstar Nursery, Inc. Case No. 95-02781 Names of Respondents Raymond James & Associates, Inc. Marshall B. Lytie Investment Management & Research, Inc. REPRESENTATION OF PARTIES For Claimant: Robert 1, Claire, Esq.. of the law firm of Selman & Claire, Boca Raton, Florida. For Respondent Raymond James & Associates, Inc

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-01104 Gerald Berube Names of Respondents Hearing Site: Boca Raton, Florida Quick & Reilly, Inc. n/k/a Bane of America Investment Services David Bryan Roberts Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Gerald Berube, hereinafter referred to as "Claimant": Randall C. Place, Esq. and

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Raymond P. Piotrowski Case No. 99-03522 Names of Respondents A.G. Edwards & Sons, Inc. Bertin Marc Stuckart REPRESENTATION OF PARTIES For Raymond P. Piotrowski ("Piotrowski"), hereinafter referred to as "Claimant": Russell C. Silverglate, Esq., Dickenson Murdoch Rex & Sloan, Boca Raton, Florida. For A.G. Edwards & Sons, Inc. ("A.G. Ed

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Dan K. Johnson and Sherri K. Johnson vs. Case Number: 05-03808 Hearing Site: Rapid City, South Dakota Names of Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. and Sam A. Mudlin NATURE OF THE DISPUTE Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Dan K. Johnson and Sherri K. Johnson ("Claimants") were represented by

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Wachovia Securities, LLC vs. Name of Respondent Scott A. Kelsaw Case Number: 06-02446 Hearing Site: St. Louis, Missouri NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES Wachovia Securities, LLC ("Wachovia" or "Claimant") was represented by Renan I. Sugarman, Esq., Renan Sugarman, PC, Chicago, Illinois. Scott A.