Award NASD Dispute Resolution In the Matter of the Arbitration Between: nf the Claimant Pagp Numhftr- 01-02488 A.G. Edwards & Sons, Inc. nf the Respondent Hearing-Site: Dallas, Texas Tony M. Stevens PFPRFSFNTAJJON OF PARTTFS Claimant A.G. Edwards & Sons, Inc., hereinafter referred to as "Claimant": Michael Naccarato, Esq. of A.G. Edwards & Sons, Inc., located in St. Louis, Missouri. Respondent Tony M. Stevens ("Stevens") did not appear. Stat

NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of -he Arbitration Between ) BERNARD D'AMOUR, ) Claimant, ) ) Case #86-00515 vs. ) Award JOE A. CLEMENTS, RUSSELL L. BENTON, ) EUGENE K. LAFF, ROBERT A. SPIRA, and ) DONALD A. REEL, ) Respondents. ) CASE SUMMARY This claim was filed with the NASD on May 7, 1986. The hearing was con- ducted in Fort Lauderdale, Florida with a total of four hearing days (seven sessions).

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between TODO GERBER vs. HEIFER BROUGHTON, INC. vs. THOMSON MCKINNON SECURITIES, INC. AND JAMES GERBER Claimant Respondents Case 186-00309 Award On April 21, 1989, the undersigned arbitrators heard the controversy between the parties as set forth in submissions to arbitration signed by Claimant on March 4, 1986, and by Respondent, Heifer Broughton, I

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between 31 n ^ Plaimart Charles F. Tipton Case No. 00-03728 fslqme nf PpgpnnHi»ntg Cambridge Financial Capital, LLC; Frank H. DiCarlo; Thomas Michael Rossi; and, Jon K. Lee Site: Indianapolis, Indiana Claimant Charles F. Tipton ('Tipton") was represented by Thomas A. Hargett, Esq. and Mark Maddox, Esq. of the firm of Maddox Koeller Hargett & Caruso, located in Indianapo

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: THOMAS B. BURKHARDT, GRETCHEN BURKHARDT, and the PATHOLOGY SERVICES OF KALAMAZOO PROFIT SHARING PLAN TRUST, by THOMAS B. BURKHARDT Claimants, v. SALOMON SMITH BARNEY, INC., JAMES C. BYLENGA and GARY SARGENT, Respondents. Case Number: 00-03695 Hearing Site: Detroit, Michigan REPRESENTATION OF PARTIES Claimants: Albert B. Addis, 10 South Ma

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Name of Claimant John Franklin Bower, Jr. Case No. 00-03693 Names of Respondents Lutheran Brotherhood Lutheran Brotherhood Securities Corp. Hearing Site: Tampa, Florida REPRESENTATION OF PARTIES For John Franklin Bower, Jr., hereinafter referred to as "Claimant": William J. Waggoner, Esq., Waggoner, Hamrick, Hasty, Monteith & Kratt, P.L.L.C., Charlotte, North C

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Kelechi Osuji, (Claimant) v. ETrade Group, Inc., (Respondent) Case Number: 00-03471 Hearing Site: Chicago, Illinois REPRESENTATION OF PARTIES Claimant Kelechi Osuji ("Osuji"): Ubi O. O'Neal, Esq. of the firm Ubi O. O'Neal & Associates located in Chicago, Illinois. Respondent E*Trade Group, Inc. ("E*Trade"): Eric Bronson, Esq. of the firm Bird, Marella, Boxer, & Wolpert

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Kirlin Securities, Inc., (Claimant) vs. Charles Evan Giamo, Michael JohnGiangregorio, Thomas E. Egan, and Jason A. Sims, (Respondents) Case Number: 00-03446 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Kirlin Securities, Inc., hereinafter referred to as "Claimant": Isaac M. Zucker, Esq., General Counsel, Kirlin Securities, Inc., Syosset, NY. Previously

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Darrel Flanel, (Claimant) vs. Lehman Brothers Inc., Lehman Brothers Holdings, Inc., Lehman Brothers Holdings, Inc. Employee Incentives Plan and the Committee of the Lehman Brothers Holdings, Inc. Employee Incentive Plan, (Respondents) Case Number: 00-03341 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Darrel Flanel, hereinafter referred to as "Claimant"

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Names of Claimants Edward Feldman, as Trustee of the Edward Feldman Revocable Trust Beatrice Eibner Frances T. Hammes Donald D. and Mary V. Nixon Paul Oswald Edward W. and Sondra L. Persichetti Kenneth Porter, Jr. Frank A. Romano, individually and as Trustee of The Romano Family Trust Names of Respondents Anchor Management Group, Inc L