STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Linda Latcham, Individually, and in Her Capacity as the Executor of the Estates of her parents, Wildo Vander Wilt and Agnes A. Vander Wilt, vs. Names of Respondents U.S. Bancorp Investments, Inc., Jason Lee Kibbee, and Steve C. Hewitt. Case Number: 05-05712 Hearing Site: Des Moines, Iowa NATURE OF THE DISPUTE Customers vs. Me

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Donald E. & Dorris E. Chaney TTEES FBO The Donald E. & Dorris E. Chaney Living Trust DTD 5/6/91, and Dorris Chaney On Behalf of the Dorris E. Chaney IRA, Claimants v. Associated Securities Corp. and Patricia F. Meidell, Respondents Case Number: 05-05935 Hearing Site: San Francisco, California Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES

Amended Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-01992 Overseas Investment Group Names of the Respondents Hearing Site: Boca Raton, Florida Wall Street Electronica, Inc. Herzog, Heine, Geduld, Inc. Carlos Francisco Otalvaro Carlos Noe Otalvaro Nature of the Dispute: Customer vs. Member & Associated Person. REPRESENTATION OF PARTIES For Overseas Investment Group, hereinaf

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-00559 Nancy Bartley Names of the Respondents Hearing Site: Nashville, TN Merrill Lynch, Pierce, Fenner & Smith William Hamilton Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Nancy Bartley, hereinafter referred to as "Claimant": Lynn Williams, Esq. of Woska & Hayes, LLP, Okla

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 05-06734 Norma J. Hecox Revocable Trust, TTEE Norma J. Hecox Names of the Respondents Hearing Site: Little Rock, Arkansas Morgan Stanley DW Inc. Corby Dean Wright Nature of the Dispute: Customer v. Member and Associated Person. REPRESENTATION OF PARTIES For Norma J. Hecox Revocable Trust, TTEE and Norma J. Hecox, hereinafter collec

AWARD NASD DISPUTE RESOLUTION In the Matter of the Arbitration Between: Jerome Schutzer vs. Kevin John Lent Case Number: 06-03476 SITUS: Boca Raton, Florida NATURE OF DISPUTE: Customer vs. Associated Person. REPRESENTATION OF PARTIES For Jerome Schutzer, hereinafter referred to as "Claimant": Robert L. Herskovits, Esq., Gusrae, Kaplan, Bruno & Nusbaum, PLLC, New York, New York. Respondent Kevin John Lent ("Lent") did not enter an appearance in t

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of tne Arbitration Between CHARLES SCHWAB * CO. INC. Claimant(s) and KRISHNA CHANR.A Respondent(s) ) Case No. 88-02086 CASE SUWARY Charles SCJ^-ID & Co., Inc. ("Claimant") alleged that Krishna Chandra {"Respondent") owed Claimant for the debit balance which existed in the Claimant's account. Respondent rienied the claim and further counterclaimed that the Claimant failed

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. in the Matter of the Arbitration Charles Schwab & Co., Inc. vs. Stacy Allyn Germic vs. Charles Dangerfield, Rob Difuria, Steve Roche, Michael Burton and Marsha Brown Between ) Claimant } ) Respondent , ) Counter- ) Claimant & ) 3rd Party ) Claimant ) ) 3rd Party ) Respondents ) AWARD CASE NO. 88-02346 SUMMARY OF ISSUES This case was filed on Apri

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) JOHN M. AND NANCY A. KINSEY, Claimants and STEPHEN N. JOHNSON; MICHAEL FEARNOW; ART PORCARI; PRUDENTIAL-BACHE SECURITIES, ) INC.; AND ISS TECHNOLOGIES ) Respondents ) ) ) ) ) CASE NO. 88-02341 ) ) CASE SUMMARY In their claim filed with the NASD on or about July 21, 1988, Claimants John M. Kinsey and Nancy A. Kinsey (collect

NASD Regulation, Inc. In the Matter of the Arbitration Between Names^3f Claimants Donald and Marlene Glaab Case No, 99-03327 Barnes gf Respondents Noble Investment Co. of Palm Beach Jeffrey Schuler REPRESENTATION OF PARTIEg For Donald and Marlene Glaab ("Glaab"), hereinafter collectively referred to as "Claimants": Albert A. Rapoport, Esq., Boca Raton, Florida, For Jeffrey Schuler ("Schuler") and Noble Investment Co. of Palm Beach ("Noble"),