N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-03350 Raymond James & Associates, claimant vs. William Kaznowski, respondent. ATTORNEYS: For Claimant, Raymond James & Associates, ("Claimant"), Deborah J. Howard, Esq., Raymond, James & Associates, Inc., St. Petersburg, FL. Respondent, William Kaznowski ("Respondent"), did not respond to Claimant's Statement of Claim. DATE FILED; July 22, 1999 CASE SU

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Salvatore Butta and Frances Butta (Claimants) vs. Citigroup Global Markets f/k/a Salomon Smith Barney (Respondent) Case Number: 06-00843 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Member. REPRESENTATION OF PARTIES Claimants Salvatore Butta ("S. Butta") and Frances Butta ("F. Butta"), hereinafter collectively referred to as "Claimants": Howard Meyers, E

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Jerry Caporale (Claimant) v. H&R Block Financial Advisors (Respondent) Case Number: 05-05862 Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Jerry Caporale, hereinafter referred to as "Claimant": James P. Brady, Esq., Attorney at Law, Toms River, NJ. Respondent H&R Block Financial Advisors, hereinaf

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 06-03879 Richard and Suzanne Woods, (Claimants) vs. Larry Eppolito and A.G. Edwards & Sons, Inc., (Respondents) ATTORNEYS: ~ ~~~" For Claimants appeared Sarah B. Davis, Esq., of the firm Burns & Levinson, LLP, Boston, MA. For Respondents appeared in-house counsel Brent J. Burtin, Esq., St. Louis, MO. NATURE OF DISPUTE: Customers v. Member and Associated Person DATE FILED: August 24,2006

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Kirlin Securities, Inc. (Claimant) vs. Tracy Beth Cohen-McLuckie and GunnAllen Financial, Inc. (Respondents) Case Number: 05-05594 Hearing Site: New York, New York Nature of the Dispute: Member vs. Associated Person and Member. REPRESENTATION OF PARTIES Claimant Kirlin Securities, Inc., hereinafter referred to as "Claimant": Issac M. Zucker, Esq., Law Offices of Isaac M. Zucker,

NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of the Arbitration Between LEO and.NORMA SCHOK, vs. BROWN AND HAWK, INC., KENNETH BROWN. RICHARD PETTERSEN and RICHARD HAWK. Claimants, Respondents. Case #88.01381 SECOND AMENDED AWARD Heard before tht members of th* Arbitration Panel: CASE SUM4A1Y This Award has been amendtd pursuant to a stipulated agreement entered into between the parties. The changes reflected in

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of Arbitration Between/Among Peter Percent Claimant vs. North American Investment Corporation Michael Risley and John Morrissey Respondents Case #88-01324 Award CASE SUMMARY Claimant Peter Porcelli alleged that Respondent engaged in securities transactions in Claimant's account without the knowledge and consent of the Claimant by "parking stock." Claimant further alle

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between) ) SHEARSON LEHMAN HUTTON, INC. ) ) Claimant } and ) ) CASE NO. 88-01301 DONALD A. EISLER ) ) Respondent ) CASE SUMMARY Shearson Lehman Mutton, Inc. ("Claimant") alleged that Donald A. Eisler ("Respondent") owes the Claimant for the debit balance which exists in the Claimant's account. The debit balance was a result of the liquidatio

NATIONAL ASSOCIATION OF SECURITIES DEALERS. INI'. Fr> thp Matter of the Af bi *" r ^t ! Oil PpT^ee Lir. Stanley bchiff, tsennce bchitf, joraan Schiff, and Or. Stanley Schiff BS Defined Contribution M/P Pension Plan #8M-C1244 Claimants vs. AWARD Beuret and Company, Ltd., Wall Street Clearing Corporation, John Maucere and Barry Bendett Respondent-. CASE SUMMARY '.'Ir-ir.crtts alleged thnt Respcpripr*-. -.:v.-crtecl llvr.r't:' f

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. "'**> < In the Matter of the Arbitration Between ) J. W. CHARLES SECURITIES, INC., ) Claimant, ) ) Case f88-015:J8 vs. ) Award WILLIAM POULSON, ) Respondent. ) Heard before the members of the Arbitration Panel: CASE SUMMARY This claim was filed with the NASD, Inc. on May 12, 1988. The hearing was conducted in Fort Lauderdale, Florida with a total of one session. Claimant, J. W. Cha