Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Joseph A. Spoerl Case No. 99-03083 Name of Respondent High Street Financial, Inc. REPRESENTATION OF PARTIES For Joseph A. Spoerl, hereinafter referred to as "Claimant": Jonathan L. Alpert, Esq., Alpert, Barker, Rodems, Ferrentino & Cook, P.A., Tampa, Florida. On or about December 12, 2000, William J. Cook, Esq., Barker, Rodems & Cook, P.A., substitu

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Chase Investment Services Corp. (Claimant) v. Mark W. Bender and Ensemble Financial Services, Inc. (Respondents) Case Number: 06-03406 Hearing Site: Buffalo, New York Nature of the Dispute: Member vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Chase Investment Services Corp. hereinafter referred to as "Claimant": Thomas Cahill, Esq., Satterlee St

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Steven K. Sandorand Diane R. Sandor (Claimants) v. Morgan Stanley DW Inc., Donald W. Boyle, and Richard J. Rohr (Respondents) Case Number: 05-03386 Hearing Site: New York, New York Nature of the Dispute: Customers v. Member and Associated Persons REPRESENTATION OF PARTIES Claimants Steven K. Sandor ("S. Sandor") and Diane R. Sandor ("D. Sandor") hereinafter collective

NASD DISPUTE RESOLUTION STIPULATED AWARD NASD DISPUTE RESOLUTION CASE: 06-02744 Matthew Taub, (Claimant) vs. Jerrold W. Mayfield, Colette E. Mayfield and Richard G. Washington, (Respondents) ATTORNEYS: — For Claimant appeared David S. Richan, Esq., of the firm Baritz & Colman, LLP, New York, NY. For Respondents appeared Paul D. Flack, Esq., of the firm Nickens Keeton Lawless Farrell & Flack, LLP, Houston, TX. NATURE OF DISPUTE: Associated Person

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Guy Slack (Claimant) v. Gregory Dupee and Wachovia Securities, LLC (Respondent) Case Number: 05-05339 Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Guy Slack, hereinafter referred to as "Claimant": Steven H. Berkowitz, Esq., and Daniel L. Petrelli, Esq., Steven H. Berkowitz and Assoc.

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: The Estate of Diane Keith (Claimant) vs. Nathan Katz (Respondents) Case Number: 05-05468 Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Customer vs. Associated Person REPRESENTATION OF PARTIES Claimant Carole Baxter, as Executrix of the Estate of Diane Keith, hereinafter referred to as "Claimant": Jeffrey R. Solar, Esq., Blau & Solar, P.C., Feasterville,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Loren J. Andreo, Jr., (aka Andy J. Andreo, Jr.), Loren J. Andreo, Jr., Custodian for Michelle Andreo, Janet Andreo, Loren J.Andreo, III, Melissa Andreo, and Meghan Andreo (Claimants) v. Cardinal Capital Management, Inc., Anthony Peluso, Brentley Martin, and Peter Glaser (Respondents) Case Number: 06-00668 Hearing Site: Hartford. Connecticut Nature of the Dispute: Customers vs. Membe

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 06-02848 Crystal Scott, (Claimant) vs. McDonald Investments, Inc., (Respondent) ATTORNEYS: For Claimant appeared Jacquenette Corgan of the firm Law Office of Warner Mendenhall, Inc., Akron, OH, 44304. For Respondent appeared Wm. Joseph Baker, Esq., of the firm Giffen Kaminski, LLC, Cleveland, OH. NATURE OF DISPUTE: Associated Person vs. Member DATE FILED: June 12, 2006 CASE SUMMARY

Stipulated Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant SunTrust Securities, Inc. Case No. 99-03079 Name of Respondent Peter A. Foley Name of Third-Party Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. REPRESENTATION OF PARTIES For SunTrust Securities, Inc. ("SunTrust"), hereinafter referred to as "Claimant": R. Hal Meeks, Jr., Esq. of the law firm of PuYsley, Howell, Lowery & Meeks, LLP, A

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 06-02753 David H. Minott & Joyce V. Minott, JTTEN, (Claimants) vs. Gunnallen Financial, Inc. and James Edward Hynes, (Respondents) ATTORNEYS: Claimants appeared pro se, Groton, MA. For Respondent Gunnallen Financial, Inc. appeared Jay Israel, Esq., of the firm Law Offices of Jay Israel, Lindenhurst, NY. For Respondent James Edward Hynes appeared Michael Utilla, Esq., Brooklyn, NY. NATUR