Award NASD Dispute Resolution In the Matter of the Arbitration Between: „-/ v Names of the Claimants Case Number: 04-5011 William I. Gold, Individually and as Trustee, TUA William I. Gold DTD 12/5/00 And Ruth H. Gold, Individually and as Trustee, TUA Ruth H. Gold DTD 12/5/00 i , - - . Names'of the Respondents Hearing Site: Boca Raton, Florida Morgan Stanley Allison! Kumble Nature of the Dispute: Customer vs. Member and Associated Per

Award NASD Dispute Resolution In the Matter of the Arbitration Between: David C. M. Schiff and Kathryn M. Schiff, Claimants' v. Prudential Equity Group, LLC, Respondent * i Case Number: 04-05009 Hearing Site: Portland, Oregon Nature of the Dispute: Customers vs. Member • i REPRESENTATION OF PARTIES For Claimants: George S. Trevor, Esq. Trevor & Weixel LLP Corte Madera, California For Respondent: Robert A. Boraks, Esq. Kenneth L.

OCT. 5.1998 9:33flM NflSD REGULRTION FL NO.592 P.17 N.A.S.D. REGULATION, INC. AWARD NASD Regulation, lac. Office of Dispute Resolution In the Matter of the Arbitration Between of Clai Stepie, Agee & Leach, Inc. 98-00254 of Responden Joseph Gray Morrison REPRESENTATION For Claimant: G. Wayne Hillis t Jr., Esq. of the law firm of Parker, Hudson, fcainer & Dobbs, LLP, Atlanta, Georgia. For Respondent; James P. O'Neal, Esq. of the la

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Raymond Hodge, ST. and Urita Hodge, (Claimants) vs. Richard L. Schooley and VTR Capital, Inc., (Respondents) Case Number: 98-00250 Hearing Site: New York, NY REPRESENTATION OF PARTIES Claimants, Raymond Hodge, ST. and Urita Hodge, hereinafter referred to as "Claimants": Karyn Hodge, New York, New York. Respondent, Richard L. Schooley ("Schooley") appeared pro.se. Respondent, V

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 98-00247 Mildred Buller, claimant vs. Alex Solomon and Goldis Financial Group, Inc., respondents. ATTORNEYS: Claimant appeared Pro Se. - New York, NY For Respondents appeared Allison M. Johnson, Esq. - Uniondale, NY DATE FILED: 1/20/98 CASE SUMMARY: Claimant alleged failure to inform of opportunity to sell and breach of professional duty. Claim Data Award

AWARD NASD Regulation, Inc. CASE: 98-00246 . . Ohio .Savings Securities, Inc., claimant vs. -Dean M. Nedvecki and Nancy A. Nedvecki, respondents. ATTORNEYS: For claimant Ohio Savings Securities, Inc., appeared in-house counsel Roy E. Lachman, Esq. Cleveland, OH Respondents Dean M. Nedvecki and Nancy A. Nedvecki appeared Pro Se., Columbus, OH DATE FILED: 1/20/1998 CASE SUMMARY: Claimant alleged that respondent failed to supply the certificate or

NASD REGULATION, INC. AWARD IN THE MATTER OF ARBITRATION BETWEEN CHARLES SCHWAB & CO., INC., / Claimant Case No. 98-00240 v. Leonard L. Romans, ^ Respondent REPRESENTATION OF PARTIES Charles Schwab & Co., Inc. ("Claimant") was represented by Stephanie Brand, Charles Schwab & Co., Inc., Houston Galleria Branch, 5100 Westheimer, Suite 100, Houston, TX 77056. Leonard L. Romans ("Respondent") was not represented and did not appear at the hearing.

AWARD NASD REGULATION, INC. In the matter of the Arbitration Between Name of Claimant Detlev E. Hasselmann v. Arbitration No. 98-00232 Name of Respondents A.G. Edwards & Sons, Inc. and Mark E. Bernhard REPRESENTATION For Claimant: G. Mark Brewer, Esq. Brewer & Carlson, L.L.P. La Jolla, California For Respondent: William S. Port, Esq. A.G. Edwards & Sons, Inc. St. Louis, Missouri CASE INFORMATION Statement of Claim fil

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Harold J. Bonfiglio and Sally A. Bonfiglio, (Claimants) v. Prudential Securities, Inc., John Kuhlman, Eric Kuehl, and Matthew J. Miller (Respondents) Case Number: 01-01774 REPRESENTATION OF PARTIES Claimant Harold J. Bonfiglio and Sally A. Bonfiglio ("Bonfiglio"): Lee Phillip Forman of the Law Offices of Lee Phillip Forman, Ltd. located in Oak Brook, Illinois. Respondent P

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant American Allied Securities, Inc. and Case Number 98-00221 Names of Respondents American General Securities, Inc., American General Life Insurance Co., and National Financial Services Corporation REPRESENTATION OF PARTIES American Allied Securities, Inc. (hereafter referred to as "Claimant") was represented by Wesley S. Coddou, Esq. and Coddou & Coddou and b