N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Harrison S. Glancy, Individually and as Trustee Irma Lucas Glancy, Individually and as Trustee NASD Case Number 92-02464 Name of Respondent^ Shearson Lehman Button, Inc. Herbert M. Greenspon For Claimants, Harrison S. Glancy and Irma Lucas Glancy, Individually and as Trustees ("the Clancy's"): William T. Kirtley, Esq. an

N.A.S.D, AWARD NATIONAL ASSOCIATION Of SECURITIES DEALERS In die Matter of the Arbitration Between Name of Ci Jack & Bernice Dimmer Case No, 92-00360 Adler Financial Management, Inc. Jackson L. Adler Claimants, Jack and Bernice Dimmer ("the Dimmers'): PJB §g. For Respondents, Adler Financial Management, Inc. ("Adler Financial") and Jackson L. Adler ("Adler"): Anthony S. Paetro, of the Law Offices of Anthony S. Faetro, Esq. CASE INFORMATI

N.A.S.D. STIPULATED AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Fred C. Hammer Marlene Whitaker 92-00982 Name of Respondents') PaineWebber, Inc. William J. Hampton Florencio Otto Busot For Claimants, Fred C. Hammer and Marlene Hammer ("the Hammers"): Marina Shank-Klein, Esq. For Respondents, PaineWebber ("PW") and Florencio Otto Busot ("Busot"): Bennett Falk, Esq.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimantfs) Edward D. & Lillian M. Woycik 92-00804 Name of Respondents') Mark Alibaugh REPRESENTATION For Claimants: Edward D. and Lillian M. Woycik ("the Woyciks".;: Mark A. Tcppcr. Hsq. For Respondent: Mark Alibaugh ("Alibaugh"): Edward J. Marko, Esq. of Marko & Stephany. CASE INFORMATION Statement of Claim filed: March 6, 1992. C

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant ^^^™" ~~ ~" ^f ' A. Peggy Pearson 92-01303 Name of Respondent A.G. Edwards & Sons. Inc. REPRESENTATION For Claimant: A. Peggy Pearson ("Pearson") Claude Walker, Esq. of Rand and Walker. For Respondent: A. G. Edwards and Sons, Inc. ("A.G. Edwards") William Port, Esq. of A. G. Edwards. CASE INFORMATION Statement of Cl

Revised Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the Claimant " ' Case Numhgr 03-00200 Barbara Alexander Baroody, IRA Name of ttip T?espnnflenl Hearing Sife - Richmond, Virginia Davenport & Company, LLC Nature of the Dispute: Customer vs. Member. RFPRFSENTATTDN QF Claimant Barbara Alexander Baroody, IRA, hereinafter referred to as "Claimant", was not represented by counsel. Respondent Davenport

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Clarence E. Rolfe, LaVon M. Rolfe, and Tamra L. Stafford vs. Names of Respondents Metlife Securities, Inc., Jerry L. McKimmy, and Professional Financial Consultants Case Number. 06-01342 Hearing Site: Detroit, Michigan NATURE OF THE DISPUTE Customers vs. Member, Associated Person, and Non Member REPRESENTATION OF PARTIES Clarence E.

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Joshua Galloway, (Claimant) vs. Datek Online Brokerage Services Corp. (Respondent) Case Number: 99-003006 Hearing Site Chicago, Illinois REPRESENTATION OF PARTIES Claimant, Joshua Calloway (Mr. Calloway): Craig R. Shagin, Esq. and Dory L. Sater, Esq. Shagin & Anstine LLC, Harrisburg, Pennsylvania. Respondent, Datek Online Brokerage Services Corp. (Datek): G Thomas Fleming III, Esq. an

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Robin Field vs. Case Number: 06-00891 Hearing Site: Kansas City, Missouri Name of Respondent Charles Schwab & Co., Inc. NATURE OF THE DISPUTE Customer vs. Member Firm REPRESENTATION OF PARTIES Robin Field ("Field" or "Claimant") was represented by Matthew R. Crimmins, Esq., Walters, Bender, Strohbegan & Vaughn, Kansas City, Missouri. Charles

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant BBPPS, LP vs. Case Number: 06-00519 Hearing Site: Houston, Texas Names of Respondents Goldman, Sachs and Company, Robert Joseph Mark, Jr., William David Leven, LM Investment Capital, LP, LM Capital Management, LP, and LM Capital Management, LLC NATURE OF THE DISPUTE Customer vs. Member, Associated Persons, and Non-Members REPRESENTATI