Award NASD Dispute Resolution In the Matter of the Arbitration Between: Kim Moorning-Brown, (Claimant) vs. Bear, Stearns & Co., Inc., (Respondent) Case Number: 99-05764 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Kim Moorning-Brown, hereinafter referred to as "Claimant", appeared pro se. Respondent, Bear, Steams & Co., Inc., hereinafter referred to as "Respondent": Izabel P. McDonald, Esq., Kramer Levin Naftalis & Frankel LLP, N

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Lael Desmond, (Claimant) vs. Ameritrade Inc., (Respondent). Case Number:98-04397 Hearing Site: Indianapolis, Indiana REPRESENTATION OF PARTIES Claimant, Lael Desmond ("Desmond"): Mark E. Maddox, Esq. and Jeff Gery Esq., Maddox, Koeller, Hargett & Caruso, Indianapolis, IN. Respondent, Ameritrade Inc. ("Ameritrade"): Patrick B. Griffin, Esq., Kutak Rock, Omaha, NE. CASE INFORMAT

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Harvey Jasny, Claimant v. Morgan Stanley DW Inc., Americo J. Salvetti, III and David W. Lewis, Jr., Respondents Case Number: 05-03919 Hearing Site: San Francisco, California Nature of the Dispute: Customer v. Member and Associated Persons REPRESENTATION OF PARTIES For Claimant: Thomas C. Bradley Sinai, Schroeder, Mooney, Boetsch, Bradley & Pace Reno, Nevada

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Julie Ellen Simmons- Capuder vs. Name of Respondent A.G. Edwards & Sons, Inc. Case Number: 06-01684 Hearing Site: Charleston, West Virginia NATURE OF THE DISPUTE Associated Person vs. Member REPRESENTATION OF PARTIES Julie Ellen Simmons-Capuder ("Simmons-Capuder" or "Claimant") appeared pro se. A.G. Edwards & Sons, Inc. ("Edwards" or "Respond

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 06-03375 Marvin S. and Nina Wetter, (Claimants) vs. Christopher Grey Weighart, (Respondent) ATTORNEYS: Claimants appeared pro se, Cape Charles, VA. For Respondent appeared Joseph Dieckhaus, Esq., of the firm Edgerton, Weaver & Irwin, Minneapolis, MN. NATURE OF DISPUTE: Customers vs. Associated Person DATE FILED: July 17, 2006 CASE SUMMARY: Claimants alleged that Respondent breached his

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 06-03188 Michael R. Evans, (Claimant) vs. BrownCo, LLC and E*Trade Securities LLC, (Respondents) ATTORNEYS: Claimant appeared pro se, Allentown, PA. For Respondent Brownco, LLC appeared in-house counsel Laura Crawford, Boston, MA. For Respondent ETrade Securities LLC appeared in-house counsel John Bersin, Esq., Rancho Cordova, CA. NATURE OF DISPUTE: Customer v. Members DATE FILE

Award NASD In the Matter of the Arbitration Between: Name of the Claimant Case Number: 99-03281 Bernard H. Butts Consolidated with 99-03887 Names of the Respondents Hearing Site: Boca Raton, FL Birchtree Financial Services, Inc. David C. Wilson In the Matter of the Arbitration Between: Name of the Claimant Case Number: 99-03887 Birchtree Financial Services, Inc. Consolidated with 99-03281 Name of the Respondent Hearing Site: Boca Raton, FL

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Ryan Beck & Company, Inc. (Claimant) vs. Nathaniel B. Ramsey (Respondent) Case Number: 06-01870 Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant Ryan Beck & Company, Inc., hereinafter referred to as "Claimant": Kenneth O'Connor, Esq., Lubiner & Schmidt, Cranford, NJ. Respondent Nathaniel B. Ramsey her

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Eddie G. Reer (Claimant) vs. Edward D. Jones, Co. (Respondent) Case Number: 06-00651 Hearing Site: Cleveland, Ohio Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Eddie G. Reer hereinafter referred to as "Claimant": Helen B. Bloch, Esq., Bellows and Bellows, Chicago, IL. Respondent Edward D. Jones, Co. hereinafter referred to as "Respondent": Denni

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Joseph and John Matusiak (Claimants) v. Morgan Stanley Dean Witter and Randal Feig (Respondents) Case Number: 05-05291 Hearing Site: Newark, New Jersey Nature of the Dispute: Customers vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Joseph and John Matusiak hereinafter collectively referred to as "Claimants": Samuel J. Myles, Esq., Holston, MacDonald, Uzdav