Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Nicholas Monick and Mary Monick (Claimants) vs. Deutsche Bank Securities, Inc. and Stephen P. Collins (Respondents) Case Number: 05-00339 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Claimants Nicholas Monick ("N. Monick") and Mary Monick ("M. Monick") hereinafter collectively referred to

Amended Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Ronald B. Drinks Name of the Respondent Legacy Financial Services, Inc. Joseph R. Karsner, IV Joe Karsner & Associates Case Number: 05-00275 Hearing Site: Baltimore, Maryland Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES For Ronald B. Drinks, hereinafter referred to as "Claimant"

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Joseph S. Gamer, Jr. Case No. 99-02229 Names of Respondents Edward D. Jones & Co. Rodney Lee Cantrell Craig Joseph Easier REPRESENTATION OF PARTIES For Joseph S. Garner, Jr., hereinafter referred to as "Claimant": Margaret A. Garner, Esq. of Margaret Arm Garner, Newport, North Carolina. For Edward D. Jones & Co. ("Edward"), Rodney Lee Cantre

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Anthony Perrotti, Ind. and as Trustee Claimant vs. Award Crowell, Heedon & Co. and Steven A. Housman Respondents Case #90-03547 CASE SUMMARY Anthony Perrotti, individually and as Trustee, in a claim filed with the National Association of Securities Dealers, Inc. by Michael L. Paul of Investors Arbitration Services, Woodland Hills, CA., on De

N.A.S.D. AHHZD NATIONAL ASSOCIATICN OF SECORTTIES DEALERS In toe Matter of the Arbitration Between. of Claimant Nancy 90-03539 of Securities Inc., now . ., known as Prudential Securities Incorporated? Gerald S. Coihn For Claimant: Irene Nancy Hamilton was represented by H. Victor Thomas, Esq. and William R. Hayes, Esq. of Bennett, Broocks, Baker & Lange, L.L.P., located in Houston, Texas. For Respondents: Prudential-Bnohn Securit

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of David L. Burka, Trustee et al... Robert A. Burka, Trustee et al. . . Fred Burka, Trustee et al... vs. Name of Respondents Prudential Securities Inc David H. Marx Arbitration National Association of Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street New York, New York 10004 Case # 90-03532

N.A.S.D. &9SB NKTiCNftL ASSOCIflTICN OF SECURITIES DEHJERS In the Matter of the Arbitration Between Financial Network Investment Corporation and 90-03526 Jeffrey J. Taylor, Dr. Karl L. Meyer Respondents Claimant Financial Network Investment Corporation appeared and was represented by Jack R. Handy, Esq. of Financial Network Investment Corporation, Torrance, California. Respondent Jeffrey Taylor appeared pro se. Respondent Dr. Karl L. Mayer d

N.A.S.D. AWARD KATIONAL ASSOCIATION OP SECURITIES DEALERS In the Matter of the Arbitration Between Ijlxm* of C"l*-i™»"t Joseph P. Byrne 90-03525 John T. Moran Peter E. Bulger William E. Wefaner Joseph Fili Gregory Hnshn Claimant Joseph F. Byrne ("Claimant") was represented by Douglas Esq. of the law firm of Capuder & Associates, P.C. Respondents John T. Maran, Peter E. Bulger, William E. Wefaner, Joseph Pili and Gregory ttagh" ap

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECT William Simkins, Individually, Josephine Simkins, Individually, William Simkins, in his capacity as Executor of the Estate of Everett Simkins, Deceased. Claimants, v. Merrill Lynch, Pierce, Fenner fie Smith, Inc. Laurie J. Canaday, Respondents. Consolidated Nos. 90-03517 91-03292 REPRESENTATION OF PARTIES For Claimant: James M. Dezelar, Esq. of Robbins, Salomon & Patt, LTD., Chi

NASO N.A.S.D, AWARD NATIONAL ASSOCIATION OF SECURITIES DERLERS In the Matter of the Arbitration Between Arbitration National Association of Securities Dealer*, inc. NASD Financial Center 33 WhitenaH Street New YorK. New York 10004 Alan R. Phillipson vs. 90-03513 Financial Clearing & Services Corp. For Claimant: Joel S. Foxman, Esq. of Bondy & Schloss. For Respondent: David A. Goldman, Esq. of Wexier & Burkhart, P.C. State