NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-06693 RBC Dain Rauscher Inc., claimant vs. Patrick Wainscott, respondent. ATTORNEYS: For Claimant appeared Allison C. Templeton, Esq., of the firm David H.S. Commins, San Francisco, CA. Respondent did not respond to the Statement of Claim. DATE FILED: November 6, 2002 CASE SUMMARY: Claimant alleged that respondent failed to repay monies owed pursuant to the terms of a Promissory Note

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Scottstrade, Inc., Claimant v. Jeong Hoon Kang, Respondent Case Number: 06-02513 Hearing Site: Los Angeles. California Nature of the Dispute: Member v. Customer REPRESENTATION OF PARTIES For Claimant: Thomas L. Azar, Esq. Thompson Coburn, LLP St. Louis, Missouri For Respondent: Jeong Hoon Kang In Propria Persona Irvine, California CASE INFORMATION Initial Sta

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant / Counter-Respondent Advest, Inc. Case Number: 06-00598 Hearing Site: Pittsburgh, Pennsylvania vs. Name of Respondent / Counter-Claimant / Third-Party Claimant Darrell Richard Beahon vs. Name of Third-Party Respondent Merrill Lynch, Pierce, Fenner& Smith, Inc. NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES Ad

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Stuart and Diane Naar (Claimants) vs. Citigroup Global Markets, Inc and Kathleen P. Sweeney (Respondents) Case Number: 06-00966 Hearing Site: Newark, New Jersey Nature of the Dispute: Customers vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Stuart and Diane Naar, hereinafter collectively referred to as "Claimants" appeared pro se. Respondents Citigroup

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 06-03756 Joyce Carol Pozniko, (Claimant) vs. Halbert Charles Swanson, (Respondent) ATTORNEYS: Claimant appeared pro se, Hanahan, SC. For Respondent appeared in house counsel for Charles Schwab & Co., Inc., Brandon K. Hemley, Esq., San Francisco, CA. NATURE OF DISPUTE: Customer vs. Associated Person DATE FILED: July 26, 2006 CASE SUMMARY: Claimant alleged that Respondent breached his fid

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 06-03953 Timothy L. Turnbull, (Claimant) vs. TD Ameritrade, Inc., (Respondent) ATTORNEYS: Claimant appeared pro se, Atlanta, GA. For Respondent appeared in-house counsel James J. Vihstadt, Esq., Bellevue, NE. NATURE OF DISPUTE: Customer vs. Member DATE FILED: August 28, 2006 CASE SUMMARY: Claimant alleged that Respondent breached its fiduciary duty by failing to execute his trading inst

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-03350 Raymond James & Associates, claimant vs. William Kaznowski, respondent. ATTORNEYS: For Claimant, Raymond James & Associates, ("Claimant"), Deborah J. Howard, Esq., Raymond, James & Associates, Inc., St. Petersburg, FL. Respondent, William Kaznowski ("Respondent"), did not respond to Claimant's Statement of Claim. DATE FILED; July 22, 1999 CASE SU

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Salvatore Butta and Frances Butta (Claimants) vs. Citigroup Global Markets f/k/a Salomon Smith Barney (Respondent) Case Number: 06-00843 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Member. REPRESENTATION OF PARTIES Claimants Salvatore Butta ("S. Butta") and Frances Butta ("F. Butta"), hereinafter collectively referred to as "Claimants": Howard Meyers, E

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Jerry Caporale (Claimant) v. H&R Block Financial Advisors (Respondent) Case Number: 05-05862 Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Jerry Caporale, hereinafter referred to as "Claimant": James P. Brady, Esq., Attorney at Law, Toms River, NJ. Respondent H&R Block Financial Advisors, hereinaf

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 06-03879 Richard and Suzanne Woods, (Claimants) vs. Larry Eppolito and A.G. Edwards & Sons, Inc., (Respondents) ATTORNEYS: ~ ~~~" For Claimants appeared Sarah B. Davis, Esq., of the firm Burns & Levinson, LLP, Boston, MA. For Respondents appeared in-house counsel Brent J. Burtin, Esq., St. Louis, MO. NATURE OF DISPUTE: Customers v. Member and Associated Person DATE FILED: August 24,2006