PUBLIC NATIONAL ASSOCIATION OP SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Donna J. King Claimant vs. McDonald & Co. Securities, Inc. Peter G. Panis Respondents CASE #92-00730 AWARD CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 3, 1992, Claimant, Donna J. King who appeared Pro Se, alleged that in July 1987 Respondent, McDonald & Co. Securities, Inc. soli

N.A.S.D. AWARD NATICNRL ASSOC33CTCN OF tJM_Wi'i'TTas DEAXERS In the Matter of the Arbitration Between. 1OSD Arbitration NO. 92-00728 Batanan Eichler, HiU Richards. Inc. For Claimant: David R. Baade, Esq. - lTe*port Beach, California For Respondents: Thorns M. Adan, Esq. Tanning, Adana & Lavi - Marina, Dal Ray, Statanent of Claim filed: February 28, 1992 Claimant's SuhBdssico Agreaaant signiid CD,: January 7, 1992 Joint Statement of Answer filed

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #92-00725 AWARD In the Matter of the Arbitration Between Richard M. Lewis Claimant VS. Edward D. Jones & Co. Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 28, 1992, Claimant, Richard M. Lewis", who appeared Pro Se, alleged that Respondent, Edward D. Jones & Co. violated Article III, Section 18, of the NASD Rules of F

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Andrew Garrett, Inc. (Claimant) v. John Michael Rago (Respondent) Case Number: 06-00648 Hearing Site: New York, New York Nature of the Dispute: Member v. Associated Person. REPRESENTATION OF PARTIES Claimant Andrew Garrett, Inc. ("Garrett") hereinafter referred to as "Claimant": Revan R. Schwartz, Esq., Andrew Garrett, Inc., New York, NY. Respondent John Michael Rago

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Joseph A. Spoerl Case No. 99-03083 Name of Respondent High Street Financial, Inc. REPRESENTATION OF PARTIES For Joseph A. Spoerl, hereinafter referred to as "Claimant": Jonathan L. Alpert, Esq., Alpert, Barker, Rodems, Ferrentino & Cook, P.A., Tampa, Florida. On or about December 12, 2000, William J. Cook, Esq., Barker, Rodems & Cook, P.A., substitu

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Chase Investment Services Corp. (Claimant) v. Mark W. Bender and Ensemble Financial Services, Inc. (Respondents) Case Number: 06-03406 Hearing Site: Buffalo, New York Nature of the Dispute: Member vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Chase Investment Services Corp. hereinafter referred to as "Claimant": Thomas Cahill, Esq., Satterlee St

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Steven K. Sandorand Diane R. Sandor (Claimants) v. Morgan Stanley DW Inc., Donald W. Boyle, and Richard J. Rohr (Respondents) Case Number: 05-03386 Hearing Site: New York, New York Nature of the Dispute: Customers v. Member and Associated Persons REPRESENTATION OF PARTIES Claimants Steven K. Sandor ("S. Sandor") and Diane R. Sandor ("D. Sandor") hereinafter collective

NASD DISPUTE RESOLUTION STIPULATED AWARD NASD DISPUTE RESOLUTION CASE: 06-02744 Matthew Taub, (Claimant) vs. Jerrold W. Mayfield, Colette E. Mayfield and Richard G. Washington, (Respondents) ATTORNEYS: — For Claimant appeared David S. Richan, Esq., of the firm Baritz & Colman, LLP, New York, NY. For Respondents appeared Paul D. Flack, Esq., of the firm Nickens Keeton Lawless Farrell & Flack, LLP, Houston, TX. NATURE OF DISPUTE: Associated Person

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Guy Slack (Claimant) v. Gregory Dupee and Wachovia Securities, LLC (Respondent) Case Number: 05-05339 Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Guy Slack, hereinafter referred to as "Claimant": Steven H. Berkowitz, Esq., and Daniel L. Petrelli, Esq., Steven H. Berkowitz and Assoc.

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: The Estate of Diane Keith (Claimant) vs. Nathan Katz (Respondents) Case Number: 05-05468 Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Customer vs. Associated Person REPRESENTATION OF PARTIES Claimant Carole Baxter, as Executrix of the Estate of Diane Keith, hereinafter referred to as "Claimant": Jeffrey R. Solar, Esq., Blau & Solar, P.C., Feasterville,