Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Rudolph and Carol Recla (Claimants) v. Prudential Equity Group, LLC f/k/a Prudential Securities, Inc. and Alfred Bevilacque (Respondents) Case Number: 03-04473 Hearing Site: New York, New York Nature of the Dispute: Customers v. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Rudolph and Carol Recla ("the Reclas") hereinafter collectively referred to as

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Sutro & Co. n/k/a RBC Dain Rauscher, Inc., Claimant v. Ana Blumberg-Markus, Respondent Ana Blumberg-Markus, Counter-Claimant v. Sutro & Co. n/k/a RBC Dain Rauscher, Inc., Counter-Respondent Case Number: 03-04382 Hearing Site: Los Angeles, California Nature of the Dispute: Member v. Associated Person Associated Person v. Member REPRESENTATION OF PARTIES For Claimant/C

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Ben Neumann and Andrea Neuman, Claimants v. Merrill Lynch & Co., Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated, Lisa C. Darin, Matthew C. Mullaly and Henry Blodget, Respondents Case Number: 03-04339 Hearing Site: Las Vegas, Nevada Nature of the Dispute: Customers v. Member, Non-Member, and Associated Persons REPRESENTATION OF PARTIES For Claimants: Louis Cu

AWARD NASD, Regulation, Inc., Office of Dispute Resolution In the Matter of the Arbitration Between Dennis M. Zetter Marilyn Zetter Claimants NASD Regulation, Inc. v. No. 96-00591 Charles Schwab & Company, Inc. George H. Reeves Respondents REPRESENTATION OF PARTIES Dennis M. Zetter and Marilyn Zetter ("Claimants") were represented by Randy E. Thomas, Esq., Law Offices of Randy E. Thomas, Stockton, California. Charles Schwab & Com

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Michael B. and Evelyn R. Simpson 96-00585 Name of Respondents Andover Securities, Inc. Gary Bohling REPRESENTATION For Claimants Michael B. Simpson and Evelyn R. Simpson appeared Terrence P. Tonney, Esq. For Respondent Andover Securities, Inc. appeared David P. Hargrave an attorney in Kansas City, Missouri. For Respondent Gary Bohling ap

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Daniel R. Friedrichsen, Claimant, and No. 96-00233 A.G. Edwards & Sons, Inc., Respondent, REPRESENTATON Claimant Daniel R. Friedrichsen was represented by Matthew J. Forristal, Esquire of Forristal & Goettsh Law Firm, located in Holstein, Iowa. Respondent A.G. Edwards & Sons, Inc was represented by Clay L. Grumke, Esquire of A.G. Edwards & S

AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant(s) Craig A. Lange Karen Crosby Lange Arbitration No. 95-05647 Name of Respondent(s) Smith Barney Shearson Inc. Sandy Lazorik REPRESENTATION For Claimants: Craig A. Lange and Karen Crosby Lange, Yakima, Washington and Neil Atkins, Senior Estate Planning Group, Inc., Bellevue, Washington For Respondents: Etta M. G

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimantfs) Barbara Graham and Lerry Graham 95-05508 Name of Respondents) Hunter International Securities Inc Howard Cochran Jones Edward Charles William Donner, III Edward Rogers CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on November 20, 1995, Claimants Lerry and Barbara Graham, who

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-03000 Olde Discount Corporation, claimant vs. David E. Price, respondent. ATTORNEYS: For Claimant Olde Discount Corporation ("Claimant"), Aaron L. Kleid, Esq., Staff Attorney, Olde Discount Corporation, Detroit, Michigan. Respondent David E. Price ("Respondent") appeared Pro Se., Lewisville, Texas. DATE FILED: 06/30/1999 CASE SUMMARY: Claimant alleged that

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Sharad D. Regay Trust 95-03961 Name of Respondent(s) David Lerner Associates Louis Liberatore REPRESENTATION The Claimant Sharad D. Regay ("Claimant") appeared Pro Se. For Respondents David Lerner Associates Inc. ("DLA") and Louis Liberatore ("Liberatore"), collectively ("Respondents"), appeared Ruthann G. Niosi Esq., a