Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-05687 Wayland Adams Teleson Babin and Mary Babin, both individually and in their capacity as Trustees of the Babin Family Trust Willie and Laverne Baker Willard Beard Sharon Bennett individually and in her capacity as the legal survivor of Richard Bennett Eddie Carroll Audrey Crochet Jody Devall and Jody, Andrea and Karr

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-05754 Nicholas A. Nepor Name of the Respondent Hearing Site: Atlanta, Georgia Lehman Brothers, Inc. Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES For Nicholas A. Nepor, hereinafter referred to as "Claimant": Benton J. Mathis, Jr., Esq. and William H. Buechner, Jr., Esq., Freeman Mathis & Gary, Atlanta, Geo

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Glaser Capital Corporation, Claimant vs. Duane Kriener, Respondent. Case Number: 97-05900 REPRESENTATION QF PARTIES Claimant, Glaser Capital Corporation, "Glaser", hereinafter referred to as "Claimant", was represented by Thomas Glaser of Cincinnati, Ohio. Respondent, Duane Kriener, "Kriener", hereinafter referred to as "Respondent", was represented by Kenneth R. Jones, Esq., of N

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants John R. Cosich and Leslie M. Cosich vs. Case Number: 06-01955 Hearing Site: Chicago, Illinois Names of Respondents Linsco Private Ledger Corp. a/k/a Linsco/Private Ledger Corp. and Terry L. Gourley NATURE OF THE DISPUTE Customers vs. Member and Associated Person REPRESENTATION OF PARTIES John R. Cosich and Leslie M. Cosich ("Claimants") wer

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Claimant/Counter-Respondent Carl W. Busch vs. Respondent/Counter-Claimant Prudential Equity Group, LLC f/k/a Prudential Securities, Inc. Case Number: 03-04521 Hearing Site: Oklahoma City, Oklahoma NATURE OF THE DISPUTE Associated Person v. Member REPRESENTATION OF PARTIES Carl W. Busch ("Busch" or "Claimant") was represented by Joan A. Renegar, Esq., Korn

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: First National Bank & Trust of Muskogee, (Claimant) vs. FFP Securities, Inc., Jack Crow, and Rebecca Tidmore, (Respondents) vs. BOSC, Inc. (Third-Party Respondent). Case Number: 99-03018 Hearing Site: Oklahoma City, Oklahoma (Consolidated with FFP Securities. Inc., Jack Crow and Rebecca Tidmore vs. First National Bank & Trust of Muskogee; Case Number 99-03161) REPRESENTATION OF PARTIE

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant rase Number- 00-01069 Leonard A. Kraus, Inc. Name nf the Respondents Hearing Site: Baltimore, MD Gaines, Berland Inc. James A. Frisone Arthur Coffee Nature of the Dispute: Customer vs. Member and Associated Persons. RFPRRSFNTATTON OF PARTTF.S Claimant, Leonard A. Kraus, Inc. ("Kraus"), hereinafter referred to as "Claimant", was represe

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Phillip A. and Clemencia A. Jackson Case No. 00-001 17 Namfij^f I R pgrum H pn^ Edward J. McCune James S. Borelli E. M. Holdings Corporation Lorette Farris Fairchild Financial Group, Inc. Hearing Site- Washington, D.C. RFPRFSFJVTAf TON OF PAPTTVS Claimants, Phillip A. and Clemencia A. Jackson, hereinafter collectively referred to as "Claimants": Wendu Me

N.A.S.D. AHARD NATIONAL ASSOCIATICN OF SECURITIES DEALERS In the Matter of the Arbitration Between ) Name of Claimant[sj \ Earl and Sharon Dorfman ) ) Case NO. 90-00601 Janes A. Barry ) Barry Financial Service ) Asset Management Corporation ) Heard before the members of the Arbitration Panel: Mryon CXinay, Esq. Public Elizabeth L. Clark Public Robert H. Hagan Industry Claimants, Earl and Sharon Dorfraan ("Dorfman"), were represented

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between ) ) Name of Claiinant(3l ) ) Frederick J. Keitel, III ) Dorothy Reitel ) ) Case No. 99-02692 ^tf si Smith Barney Harris Upham & Co. , Inc. ) George B. Malin ) Claimants, Frederick J. Keitel and Dorothy Keitel ("the Keitel'3"): were pro se. For Respondents, Smith Barney Harris Upham & Co., Inc. ("Smith Barney") and George Mal