Award NASD Dispute Resolution In the Matter of the Arbitration Between: James Singer, James Singer IRA, and James Singer Corp. (Claimants) vs. C.E. Unterberg Towbin, LLC (Respondent) Case Number: 05-04562 Hearing Site: New York, New York Nature of the Dispute: Associated Person and Customers vs. Member REPRESENTATION OF PARTIES ; Claimants James Singer ("Singer"), James Singer IRA ("Singer IRA"), and James Singer Corp. ("Singer Corp.") hereinaft

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-07321 Mel Lipkin Name of the Respondent Hearing Site: Columbia, South Carolina Prudential Securities Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Mel Lipkin, hereinafter referred to as "Claimant": S. Jahue Moore, Esq., Moore, Taylor & Thomas, P.A., Columbia, South Carolina. For Prudential Securities ("Prud

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-03028 Ellen Gerson Names of the Respondents Hearing Site: Raleigh, North Carolina Scott & Stringfellow, Inc. Amber E. Moring Mark R. French Dean A. Cutliffe Nature of the Dispute: Customer vs. Associated Person and Member. REPRESENTATION OF PARTIES For Ellen Gerson ("Gerson"), hereinafter referred to as "Claimant": Mich

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Dennis M. Nigro, The Dennis M. Nigro Trust, The Dennis & Brenda M. Nigro Living Trust, and Dennis M. Nigro, MD, Inc., Claimants v. Mutual Service Corporation, Charles W. Leitzke, Leonard G. Voisen, and Michael E. Poston, Respondents Case Number: 05-02417 Hearing Site: San Diego, California Nature of the Dispute: Customers v. Member and Associated Persons REPRESENTATION OF PARTIE

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Wachovia Securities, LLC, Claimant v. Eddy J. Gutierrez, Respondent Case Number: 06-02267 Hearing Site: San Francisco, California Nature of the Dispute: Member v. Associated Person REPRESENTATION OF PARTIES For Claimant: Timothy N. Will, Esq. Albert & Will, LLP Torrance, California For Respondent: Albert L. Boasberg, Esq. Attorney at Law San Francisco, California

Award NASD Dispute Resolution^ Inc. In the Matter of the Arbitration Between: Nancy Heard (Claimant) vs. Bane One Securities Corporation and Connie Fisk (Respondents). Case Number: 99-03277 Hearing Site: Dallas, Texas REPRESENTATION OF PARTIES Claimant, Nancy Heard, ("Claimant"): Doug Perrin, Esq., Attorney at Law, Arlington, Texas. Respondent, Bane One Securities Corporation and Connie Fisk ("Respondents"): Bernard C. Daley, Esq., New York, New

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: William C. Cliff and Natalie L. Cliff, Claimants v. UBS Financial Services, Inc. and Steven A. Hild, Respondents Case Number: 03-06251 Hearing Site: San Francisco, California Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES For Claimants: William C. Cliff Natalie L. Cliff San Ramon, California For Respondent UBS Financ

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Tuaha Mian Claimant(s) vs. AWARD 89-00603 Prudential-Bache Securities, Inc. and Stuart Kosloff Respondent(s) NOTICE OP ARBITRATION CASE SUMMARY Claimant(s) Tuaha Mian alleged that Respondent(s) Prudential-Bache Securities, Inc. and Stuart Kosloff overcharged commissions. Respondent(s) deny any agreement with the Claimant to charge only fifty p

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Johnny E. and Bernice A. Crowden vs. Case Number: 05-5068 Hearing Site: St. Louis, Missouri Names of Respondents Edward D. Jones & Co., L.P. and Kim D. Charles NATURE OF THE DISPUTE Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Johnny E. and Bernice A. Crowden ("Crowdens" or "Claimants") were represented by Richard B. Fos

Award NASD Dispute Resolution In the Matter of the Arbitration Between: John Leedy (Claimant,) vs. UBS Financial Services, Inc. (Respondent) Case Number: 06-02044 Hearing Site: Columbus, Ohio Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant John Leedy hereinafter referred to as "Claimant": David P. Meyer, Esq., David P. Meyer & Associates Co., LPA, Columbus, OH. Respondent UBS Financial Services, Inc., hereinafter refer