Award NASD Dispute Resolution In the Matter of the Arbitration Between: Richard L. Johns (Claimant) vs. CUNA Brokerage Services, Inc., and Emmor E. Boslet (Respondents) Case Number: 06-00636 Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Richard L. Johns hereinafter referred to as "Claimant": Robert Bleecher, Esq., Pecht & Associates, Mechanicsburg, PA.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Hugh P. McNally (Claimant) v. H&R Block Financial Advisors, Inc. (Respondent) Case Number: 06-00955 Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Hugh P. McNally, hereinafter referred to as "Claimant": J. Matthew Wolfe, Esq., Law Office of Alice W. Ballard, P.C., Philadelphia, PA. Previously repre

N.A.S.D. AWARD ASSOdMICN OP SBGORTHES la the Matter of tbo Arbitration Between Marilyn A. Levy 92-00721 Mama of ReaooQdent(a) Merrill Lynch, Pierce Feoner & Saith Inc Patrick J. Aubry For Claimant: Jane L. Stafford, Esq. of Mitchell, Rristl & ideber, P.O., Kansas City, Missouri. For Respondent: Tbdd A. ZuckBdjeod, Eaq. Aaaiatant Vicai Preoddant and Sanior attornay of Marrill Lynch, PiaEOS, Fanner & g«i«^ f lbc. f MOM York, No

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Mame of Claimanc(s) Holly B. Spencer Case NO. 92-00712 Nape of Respondents) Prudential-Bache Securities Inc. Ken Brown For Claimant, Hotly B. Spencer ("Spencer"): {Catherine Nathan, Esq. of Brandeis, Bernstein & Wasserman. For Respondents, Prudential Securities, Inc. ("Prudential") and Ken Brown ("Brown"): Peter Byer, Esq. of Prudential.

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Herbert J. and Joyce LaHood Claimants vs. Mark H. Field Karl I. Riner Respondents CASE #92-00711 AWARD CASK SCTMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 27, 1992, Herbert J. and Joyce LaHood who appeared Pro Se, alleged that- in May 1988 Claimant Herbert J. LaHood contacted Respondent Mark H.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERSy-INC. In the Matter of the Arbitration Between ~ Qf ciaa Vilsen Salinas and 92-trCflO f Resondents A.G. Edwards & Sons, Inc., William Lane and Jimmy R. Williams Claimant was represented by Charles L. Thoeming, Esq. Dallas, Texas. Respondents were represented by Stephen Sneeringer, Esq. and Rose M. Schindler, Esq. of A.G. Edwards & Sons, Inc., St. Louis, Missouri. CASK INPO

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Daniel P. and R. Adelle Masto Daniel P. Masto M.D. Medical Corporation Daniel P. Masto TTEE Money Purchase Pension Plan Daniel P. Masto TTEE Defined Benefit Pension Plan Daniel P. Masto Custodian for Stephen Masto . Daniel P. Masto Custodian for Philip Masto Daniel P. Masto Custodian for Julie Masto Daniel P. Masto Custodian f

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Norman M. Boget Winifred S. Boget NASD Arbitration No. 92-00707 Name of Respondent Dean Witter Reynolds, Inc. David Walters REPRESENTATION For Claimant: Peter Stubbs, Esq. - Friedman, Collard & Poswail - Sacramento, California. For Respondent: Kenneth C. Mennemeier, Esq. - Orrick, Herrington & Sutcliffe - Sacra

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Robert C. Croyle, Marie E. Croyle, Janice Dreshar, Ruth Kowatch (individually and on behalf of the Ruth Kowatch IRA), Terence McCafferty, and Raymond L. Weigel, Claimants vs. Prim Securities, Inc., formerly known as Chapel Hill Securities, Inc., Michael C. Brady, and Joseph Lombardo, Respondents. Case Number: 99-Q3Q77 Hearing Site: Cleveland. Ohio REPRESENTATION OF PARTIES

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Jesse Shahboz 92-00705 Name of Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. Saly A. Classman REPRESENTATION Claimant Jesse Shahboz ("Claimant") was represented by Marjorie Greenfield, Esq. of Anderson & Greenfield. Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. ("Merrill Lynch") and Saly A. Classman