Final Order NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Franchise Development Corporation, (Claimant) vs. Sovereign Equity Management Corp., Thomas Hands, William Clark, Joseph Cosoleto, First Southwest Company, John Curran, Matthew Mauriello, Joseph Giordano, and Robert Carlin, (Respondents) Case Number: 96-05655 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant Franchise Development Corporation, hereinafte

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Nicholas C. Hodges Names of the Respondents Partner Connections, LLC Kirby Living Trust James Kirby Briden Investments, LLC William Little John Stevko Case Number: 05-02771 (consolidated with 05-04012) Hearing Site: Jackson, Mississippi In the Matter of the Arbitration Between: Name of the Claimant Partner Connections, LLC

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 01-05504 Jonathan B. Mirer Name of the Respondent Hearing Site: Boca Raton, Florida Morgan Stanley DW, Inc. Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES For Jonathan B. Mirer, hereinafter referred to as "Claimant": David A. Weintraub, David A. Weintraub, P.A., Ft. Lauderdale, Florida. For Morg

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-02702 W. Patrick Lentell Name of the Respondent Hearing Site: Richmond, VA Anderson & Strudwick, Inc. Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES For W. Patrick Lentell, hereinafter referred to as "Claimant": Edward B. Lowry, Esq., Michie Hamlett Lowry Rasmussen & Tweel PLLC, Charlottesville, VA. For

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Richard Franklin Names of the Respondents Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, and Edward J. Warticki Case Number: 04-00859 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Richard Franklin, hereinafter referred to as "Claimant"

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 05-04943 Sherrilyn S. Lawrence Alfred E. Moore Paul F. Limandri Lee A. Hammond Hilton Henderson Names of the Respondents Hearing Site: Norfolk, VA Edward D. Jones & Co. L.P. Thomas Frank Belvin Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Sherrilyn S. Lawrence, Alfred E. Mo

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Barry Adams, James Wallace, and Roger Sims, Individually and on Behalf of W.P. Sims vs. Case Number: 05-06221 Hearing Site: Houston, Texas Name of Respondent CIBC World Markets Corporation NATURE OF THE DISPUTE Customers vs. Member REPRESENTATION OF PARTIES Barry Adams, James Wallace, and Roger Sims, Individually and on Behalf of W.P

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of Arbitration Between: RITA E. MILLER, Individually and As Trustee of the Rita E. Miller Revocable Trust Under Agreement Dated 1/9/97, Claimant, -vs- VESTAX SECURITIES CORPORATION, PREMIER FINANCIAL ADVISORS, INC., TIMOTHY L. FORD, RALPH L. ROTH, ROBERT J. CONLEY, ANTHONY W. MITCHELL, LUKE F. BAUM, GREGORY J. BETCHKAL, RANDALL R. RINGER, PATRICK H. McEVOY, MARINER FINA

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Morgan Stanley DW, Inc. vs. Case Number: 06-00053 Hearing Site: Chicago, Illinois Name of Respondent William Edgar Tienken NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES Morgan Stanley DW, Inc. ("Claimant" or "Morgan Stanley") was represented by Ronald P. Kane, Esq., Diane C. Fischer, Esq., and Christopher

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Jerry C. Neal and Phyllis A. Neal (Claimants) vs. Wachovia Securities, LLC (Respondent) Case Number: 06-01001 Hearing Site: Cleveland. Ohio Nature of the Dispute: Customers vs. Member REPRESENTATION OF PARTIES Claimants Jerry C. Neal ("J. Neal") and Phyllis A. Neal ("P. Neal") hereinafter collectively referred to as "Claimants": Kevin Thomas Roberts, Esq., The Roberts Law Fi