AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimants James W. Dyson and Kathryn M. Dyson and 00-01073 Minneapolis, Minnesota Name of Respondent Charles Schwab & Company, Inc. REPRESENTATION OF PARTIES James W. Dyson and Kathryn M, Dyson ("Claimants") appeared pro se. Charles Schwab & Company, Inc. ("Respondent") was represented by Mauricio S. Beugelmans, Esq., Charles Schwab & Company, Inc., San

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #92-00163 AWARD In the Matter of the Arbitration Between Walter D. Kuver Claimant vs. Dean Witter Reynolds, Inc. Respondent vs. Daryl R. Nitkowski Respondent CASE SUMMARY In a claim filed, with the National Aasociation of Securities Dealers, Inc. on January 15, 1992, Claimant Walter D. Kuver, who appeared Pro Se, alleged that Respondent Dean Witter Reynolds, Inc

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 05-00123 Edward J. Gorman, III, Individually and as Beneficiary Under the Will of Edward J. Gorman, Jr. Patrick A. Gorman, Individually, as Beneficiary Under the Will of Edward J. Gorman, Jr., and as Special Administrator of the Estate of Edward J. Gorman, Jr. Names of the Respondents Hearing Site: Washington, D.C. A.G. Edwards & Sons, Inc

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 05-05196 Vacation Links of Florida, Inc. Names of the Respondents Hearing Site: Orlando, Florida Capital Securities of America, Inc. Jerry Cline Name of theThird Party Respondent Charles Watson Nature of the Dispute: Customer vs. Member and Associated Person vs. Associated Person. REPRESENTATION OF PARTIES For Vacation Links of Flori

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-02014 Jesse E. Daugherty Name of Respondent Hearing Site: Boca Raton, Florida FSC Securities Corporation Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Jesse E. Daugherty, hereinafter referred to as "Claimant": Alan L. Frank, Esq. and Kyle M. Kulzer, Esq., Alan L. Frank Law Associates, P.C., Elkins Park, Pennsyl

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-03144 Elizabeth M. Earley Names of the Respondents Hearing Site: Baltimore, Maryland Morgan Stanley DW Inc. Merrill Lynch, Pierce, Fenner & Smith, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Elizabeth M. Earley, hereinafter referred to as "Claimant": Debra G. Speyer, Esq., Philadelphia, Pennsylvania.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Donate Furlano Name of the Respondent Fidelity Brokerage Services, LLP Case Number: 05-06747 Hearing Site: Washington, D.C. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Donate Furlano, hereinafter referred to as "Claimant", appeared pro se. For Fidelity Brokerage Services, LLP ("Fidelity"), hereinafter referred to as

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Paul Farmer Claire Farmer Paul Farmer Trust U/A DTD 12/16/85 Claire Farmer Rev. Trust U/A DTD 9/2/03 Names of the Respondents Pershing LLC/ Div. of DLJ Sec. Corp. Raymond James & Associates, Inc. Raymond James Financial Services, Inc. Fareri Financial Services, Inc. Anthony J. Fareri Candace Sametini John Vasiliadis Case Number

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Dorothea LeFlore, Lily Cai, Christina D. Calvert, Nemiaya L. Ward, and Dawn M. Whitaker Claimants v. Solomon Smith Barney, Inc., a/k/a Smith Barney, Inc., n/k/a Citigroup Global Markets, Inc., Judy R. Ackerman, and Lisa A. Detanna Respondents Case Number: 03-04782 Hearing She: Los Angeles, California Nature of the Dispute: Associated Persons v. Member and Associated Persons • RE

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants Case Number: 02-07494 Frank E. Stachyra, Esq., and Ann M. Stachyra Name of the Respondents Hearing Site: Chicago, Illinois Salomon Smith Barney, Inc., n/k/a Citigroup Global Markets, Inc., and Jack Grubman consolidated with Name of the Claimants Case Number: 03-08719 Frank E. Stachyra, Esq., and Ann M. Stachyra Name of the Respondents Hearing Si