Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Melvyn Douglas Gautier Ben Burpo, Jr. Manuel R. Hodge Cornell Wilson Warren G. Fountain Names of the Respondents American General Securities, Inc. Hartford Equity Sales Company Case Number: 03-04369 Hearing Site: New Orleans, Louisiana Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Claimants Melvyn Dou

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Jae Kennedy-Pearson, Colleen Cremerius and Florence Miller, Claimants v. A.G. Edwards & Sons, Inc. and Theodorus Burger, Respondents Case Number: 03-00025 Hearing Site: San Francisco, California Nature of the Dispute: Customers vs. Member and Associated Person REPRESENTATION OF PARTIES For Claimants: John S. Perkins, Esq. Law Offices of John S. Perkins San Jose, California

N.A.S.D. AWARD NATICNAL ASSOCIATION OF SECURITIES DEAI£RS In the tetter of the Arbitration Betvreen" Name of f 1 aimantes] Eva Strine r individually and as co-trustee with Joseph Penza of the Helen Strine Quinn Trust. ) Case No: 89-01455 Name s \ Shearson Lehman Hut ton, Inc. C. Lynn Abel Heard before the members of the Arbitration Panel: Casey W. Mills, Esq. Public Judy Avey Public Richard M. Kowalske Industry Cl

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Duncan Fortier and Jascan Investments, Inc., Claimants v. Morgan Stanley DW Inc., Antony Gordon, William T. Lappas and Margaret Black, Respondents Case Number: 04-00355 Hearing Site: San Francisco, California Nature of the Dispute: Customers vs. Member and Associated Persons REPRESENTATION OF PARTIES For Claimants: Timothy A. Canning, Esq. Richard Sacks Novato, California

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Pearl Chu and Jim W. T. Chu (Claimants) vs. Citigroup Global Markets, Inc, Julia H. Chiu and Henry Gotlob (Respondents) Case Number:04-00163 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Member and Associated Persons REPRESENTATION OF PARTIES Claimants Pearl and Jim W.T. Chu ("Chu") hereinafter collectively referred to as "Claimants: Adolph D. Seltzer, Es

N.A.S.D* AMASD ASSQCXKEXCH 09 SBCCRITIES In the Matter of the Arbitration Between Matae of Clafoant Danny J. Marsh 91-02952 flame, Qfjj|Bgegflmta Ferris, Baker Watts, IDC. Alan Goldstein Glaissant Douay J. warsn ("Claimant") was represented by Michelle Barnes, Attorney at Law. Ferris, Baker Watts, Inc, ("Ferris") and Alan ^•'4°*'*'l" ("Goldstein"} collectively referred to aa Respondents were represented by Ibaodora W. Utfcan, General

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between / Norman H. Jasper TTEE The Jasper Trust ; i Claimant ; vs. ; CASE* 91-02947 ; AWARD Shearson Lehman Brothers, Inc. ; / Respondent ; / CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 23 , 1991, claimant Norman H, Jasper, TTEE for the Jasper Trust who appeared pro se, alleged

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 01-02247 George H. Bane, claimant vs. Ameritrade, Inc., respondent. ATTORNEYS: Claimant appeared pro se., Delray Beach, FL. For Respondent appeared James J. Vihstadt, Regulatory Counsel, Bellevue, NE. DATE FILED: May 1, 2001 CASE SUMMARY: Claimant alleged that respondent improperly charged his account $1,687.50 due to a short position of 9,000 shares of Honeywell stock. Claimant maint

N.A.S.D. AWARD ASSQCIAT1CN OF SECURITIES DEALERS In the Matter of the Arbitration Between Q£ Robert aTv * namrtaffft Peck — - "^*- 91-02946 Q£ -Rache Securities Inc., now panadfintial Securities Incorporated; Robbie DeRooy ^^a^TTttT^t•J^/fVll^^^^tt^••Pagpnffirforl^ff« Robert s" 1 ^ fTanrfana Peck WBTB by Robert Peck. For T7rnpnnrtrnt"n/ < ^ r ' |Tr| ^ pT '~ rr ^ a ^

e N.A.S.D. AWARD NKTICNMi ASSOCIKTICN OF SECDRJTIES DEALERS In the Matter of the Arbitration Between Q£ f^ Nonnan and Harriett Schranm 91-02944 Hame of Heaprnrimts Merrill Lynch Pierce Feoner & arith, Inc. Claimants **~rrrrm and Harriett Schranm ("Claimants") were represented by Charles LaSata, Esq. of Globensky, Gleisa, Bittoer & Hyrns, F.C. Respoodents Merrill Lynch Fierce Famer & E^frfry Inc. and Robert Sprin^DBn (•Bespcndmts*) were r