NASD DISPUTE RESOLUTION AWARD , NASD DISPUTE RESOLUTION CASE: 06-02903 Edward D. Jones & Co., L.P., (Claimant) vs. James A. Valis, (Respondent) ATTORNEYS: " ~ ~ ~ ~ " ~~ For Claimant appeared Christopher A. Pickett, Esq., of the firm Goldberg Wehrle, LLC, St. Louis, MO. Respondent appeared pro se, Worchester, MA. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: June 15, 2006 CASE SUMMARY: Claimant alleged that Respo

N.A.S.D. AWARD NATIOKAL ASSOCIATION 07 SXCORITXES OKALBRS In che Matter of the Arbitration Between Same of Claimants Douglas T. and Annette M. Peterson 92-00761 Shearson Lehman Brothers, Inc. RBPMS8MTATION For Claimants Douglas T. and Annette M. Peterson ("Claimants") : Janes R. Adams, Esq., of Frost & Jacobs. For Respondent Shearson Lehman Brothers, Inc. (" Shearson ">: Thomas M. Knepper, Esq. of Neal Gerber et al. CAS f fHTORKATIOft

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Sylvia Lupkin CASE #92-00760 Name of Respondents PaineWebber Incorporated Stuart Lederman REPRESENTATION For Claimant Sylvia Lupkin: Richard C. Hochman. Esq. For Respondents PaineWebber. Inc. and Stuart Lederman: Paul G. Thomas. Esq. CASE INFORMATION Statement of Claim filed: March 4, 1992. Claimant's Submission Agr

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Ameritrade, Inc., (Claimant) vs. Paul Cillis, (Respondent) Case Number: 99-03084 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Ameritrade, Inc., hereinafter referred to as "Claimant": James J. Vihstadt, Esq., Regulatory Counsel, Ameritrade, Inc., Bellevue, NE. Previously represented by: Patrick B. Griffin, Esq., Kutak Rock. Omaha, NE. Respondent, Pau

N.A.S.D. AHAKD NKETCNAL ASSOCIKnCN OF la the Matter of the Arbitration Between James A. Drunncnd NASD No.92-00756 Hugh Gem 6 Co., Inc. Hugfr Gee Tarrence Gee For Claimant: Richard Sacks, Investors Recovery Service, Nbvato, Fbr Respondents: J«tcoa Berg, Esq., San Francisco, California Statement of n»< « filed: Iterch 3, 1992 daixoant's ^nK«i4«fr(< ^i AoreeoBQC signed cat Jaouazy 23, 1992 Joint Stataatnt of Answer filed! April 15, 1992

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #92-00755 AHARD In the Matter of the Arbitration Between Joseph C. Chawes Claimant vs. Commonwealth Equity Services, Inc. Maurice R. Senechal Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 3, 1992, Claimant Joseph C. Chawes, who appeared Fro Se, alleged that Respondent Commonwealth Equity Services, Inc. t

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Christina Montaruli 92-00747 Namejjf Resoondent(s) Smith Barney Harris Upham & Co., Inc. Mark Andrew Smith REPRESENTATION For Claimant, Christina Montaruli, ("Montaruli"), Allan J. Fedor, Esq. of Fedor & Fedor. For Respondents, Smith Barney Harris Upham & Co., Inc. ("Smith Barney") and Mark Andrew Smith ("Smith"), Alejan

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of Arbitration Between Name of Claimant David P. and Andrea A. Ditto et al. vs. Case»: 92-00744 Name of Respondent Prudential Securities, Inc., J.C. Bradforn & Company et al. REPRESENTATION For Claimants: Dale S. Ditto, Esq. solo practitioner, Lexington, KY and Tim Philpot, Esq. of Philpot & Sullivan, Lexington, KY. For Respondent Prudential and Michael Brinlee: Pete

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants l Fred Alvaro, Jr. 92-00737 Name of Respondents Shearson Lehman Brothers, Inc. Jeffrey Swartz REPRESENTATION For Claimant Fred Alvaro, Jr. ("Claimant"): he appeared pro se. For Respondents Shearson Lehman Brothers, Inc. ("Shearson") and Jeffrey Swartz ("Swartz"): Robert N. Rapp, of Calfee, Halter et al. CASE INFORM

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS PUBLIC In the Matter of the Arbitration Between Name of Claimant! s) Maria Michaels-Johnson Frosene Sonderling Nicholas Michaels 92-00735 Name of Resoondentts) Smith Barney Harris Upham & Co.. Inc. Robert Rubenstein REPRESENTATION For Claimants: Seth L. Rosenberg and Meaghan E. Barrett of the law firm of Gallop, Dawson, dayman and Rosenberg. For Respondents: Joan Guggenhei