NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 06-02158 Robert R. and Delores J. Gehrking, (Claimants) vs. Michael Kriewald, Jane L. Lawless, Associated Investment Services, Inc. and Primevest Financial Services, Inc., (Respondents) ATTORNEYS: Claimants appeared pro se, LaCrosse, Wl. For Respondents Primevest Financial Services, Inc. and Jane L. Lawless appeared James J. Moylan, Esq., of the firm James J. Moylan and Associates PC, S

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 06-00170 Frank E. Schiavone Lori K. Schiavone Name of the Respondent Hearing Site: Orlando, FL Wachovia Securities, LLC Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Frank E. Schiavone and Lori K. Schiavone, hereinafter collectively referred to as "Claimants": Robert J. Winicki, Esq., Winicki Law Firm, P.A.,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 05-05932 William A. Adams Name of Respondent Hearing Site: Boca Raton, Florida Young Stovall & Company Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For William A. Adams, hereinafter referred to as "Claimant": Scott J. Link, Esq. and Ryan M. McCabe, Esq., Ackerman Link Sartory, West Palm Beach, Florida. For Young

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 06-02422 Paul Heinrich Deborah Heinrich Names of the Respondents Hearing Site: Boca Raton, Florida Ameritas Investment Corp. Victoria Renee Taylor Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Paul Heinrich and Deborah Heinrich, hereinafter collectively referred to as "Claimants": Scott

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Hilton B. Forcum and 92-02236 Name of Respondent Goldman Sachs and Company REPRESENTATION OF PARTIES Hilton B. Forcum ("Claimant") was represented by Kenneth R. Jones, Jr., Esq. and Mary B. Falls, Esq. of Sherrard & Roe, Nashville, Tennessee. Goldman Sachs and Company ("Respondent") was represented by Thomas W. Rosen, Esq

NASD Arbitration No.92-02233 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEAT.KRS In the Matter of the Arbitration Between Name of Claimant(s) Carl Taufer Name of Respondents) M.L. Stern & Co., Inc. Frank A. Wasko REPRESETSTA*yiON For Claimant: Robert W. Mills, Esq., and Kelly J. Robbins, Esq., San Rafael, California For Respondent: Michael Holtzman, Esq., Mindlin, Tigennan & Holtzman, Los Angeles, California CASE INFOR

NATIONAL ASSOCIATION Cr SECURITIES DEALERS, INC. n the Matter of the Arbitration Setween eter J. Deutch. Claimant Shearson Lehman Srochers, Inc. Roy Buckingham David Bouidin Respondents CASE #92-02232 AWARD CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. an July 7, L992 Claimant Peter J. Deutch, who appeared Pro Se, alleged that on June 24, 1987 he placed a good until cancel open order with

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #92-02231 AWARD In the Matter of the Arbitration Between David A. Clark & A. Dusty Clark Claimants vs. Dean Witter Reynolds, Inc. Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July 7, 1992, Claimant David A. Clark, who appeared Pro Se, alleged that Respondent Dean Witter Reynolds, Inc. failed to follow his request

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Constance Laney Case No. 99-03230 Names of Respondents J.J.B. Milliard, W.L. Lyons, Inc. George M. Johnson REPRESENTATION OF PARTIES For Constance Laney ("Laney"), hereinafter referred to as "Claimant": John P. Freeman, Esq., Columbia, South Carolina. For J.J.B. Billiard, W.L. Lyons, Inc. ("Billiard"): Ronald R. Davis, Esq., Womble Carlyle S

—_ N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Jacques-Andre Istel vs. NASD #92-2230 of Rcsodets Merrill Lynch Pierce Fenner & Smith, Inc. RJjyRJESENTATIQN For Claimant: Jacques Andre Istel, Felicity, CA For Respondents: Michael Van Dyke, Esq., Gray, Gary, Ames & Frye, San Diego, CA CASE INFORMATION Statement of Claim filed: July 7, 1992 Claimant's Submission Agreement signed: June 2