AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant The Estate of Florence Faiman vs. Name of Respondent Edward D. Jones & Company Case Number: 05-05447 Hearing Site: Minneapolis, Minnesota NATURE OF THE DISPUTE Customer vs. Member REPRESENTATION OF PARTIES The Estate of Florence Faiman ("Claimant") was represented by Marc G. Kurzman, Esq., Kurzman, Grant & Ojala, Minneapolis, Minnesota. E

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 99-02776 Douglas Johnson Names of the Respondents Hearing Site: Tampa, Florida Alden Capital Markets, Inc. Continental Broker-Dealer Corp. Karl Birkenfeld Jason Frankovich Nature of the Dispute: Customer vs. Members and Associated Persons REPRESENTATION OF PARTIES For Douglas Johnson, referred to as "Claimant": Steven D. Spivey, Esq.

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Leslie C. Lawrence vs. Case Number: 05-05315 Hearing Site: Chicago, Illinois Names of Respondents Stifel, Nicolaus & Company, Inc. and Todd A. Rinderer NATURE OF THE DISPUTE Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Leslie C. Lawrence ("Claimant") was represented by Sean Keane, Esq., Simmons Cooper LLC, East Alton, I

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Dorothy C. Maxson, through her Conservator, Colleen M. Hirsch vs. Case Number: 05-05130 Hearing Site: Troy, Michigan Name of Respondent Merrill Lynch Pierce, Fenner & Smith, Inc. and Name of Third-Party Claimant/Respondent Merrill Lynch Pierce, Fenner & Smith, Inc. vs. Name of Third-Party Respondent Lauri Lynn Hirsch NATURE OF THE DIS

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Edith V. Burns vs. Name of Respondent Primerica Shareholder Services, Inc. Case Number: 05-04270 Hearing Site: Southfield, Michigan NATURE OF THE DISPUTE Customer vs. Non-Member REPRESENTATION OF PARTIES Edith V. Burns ("Claimant") was represented by Dayna Milbrand, Esq., Dayna Milbrand, PC, Mt. Clemens, Michigan. Primerica Shareholder Se

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant/Counter-Respondent The Allison-Williams Company vs. Name of Respondent/Counter-Claimant Stephen M. Vincent and Name of Third-Party Claimant Stephen M. Vincent vs. Names of Third-Party Respondents B&T, Inc. and Robert C. Tengdin Case Number: 05-03568 Hearing Site: Minneapolis, Minnesota NATURE OF THE DISPUTE Member vs. Associated P

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Jeff A. Catanzarite 93-01587 A.O. Edwards & Sons, Inc. C*38dffltnt Jeff A: Catanzarite ("Claima^ v.'Scott Macom, Attorney at Law. Respondent A, G. Edwards & Sons, Inc. ("Respondent") was represented by: Clay L. Grumke, Litigation Counsel for A.G. Edwards & Sons, Inc. CASE INFORMATION Statement of Claim filed on: May 3, 1993. Claimant's Subm

NA.S.D. AWARD NATWNAL ASJJCK3ATKW OFSKCUWnES DEALEES la tkt Matter of Ic * Co. Qpi mnc&ik at fi tate A C>an«|e, P.C., Cliagoi, BOnois. F.O. OiekiDm ft Go. nd Oukb Gnci at the 1995. Jotat SMBQMBC |tf Aoiwcr fihd by OK OftiMn A Co. ad OoUo Gtad'i 1, 1999. December 2,1993 far< ws(l) HUD HEW 93-01733 a «£ 2 Its pordawd 5,< *5 dues of Item Etanc add DOB & sfggant to cover ttet and Am* west later wa

NA&D. AWARD NATIONAL ASSOCIATION OP SECURITIES BEAUSBS, INC la rf» Matter rf ti» Arbitration Robert P. Cody 93-1654 Cbcbca Street Securities, Inc. Robert P. Cody ("Oabnaf) appeared gmst. Chelsea Street Securities, iac. ("RefpoKfeaf) did net appear at the hearing. The Statement of Claim wa* filed on or about April 27, 1993, Submission Agreement of Claimant wts signed on Aprfl2Cv 1993. Statement of Answer wu filed by Respondent on or about Septemb

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the. Claimant Case. Number 02-02474 Acument Securities, Inc. file/a Thomas F. White & Co., Inc. Name of the Respondent Hearing Site: Baltimore, MD Thomas J. Heffernan Nature of the Dispute: Terminated Member v. Associated Person. REPRESENTATION OF PARTTFS Claimant, Acument Securities, Inc. f/k/a Thomas F. White & Co., Inc., hereinafter referred to as "Claimant",