Award NASD Dispute Resolution In the Matter of the Arbitration Between: Stephan A. Velazquez, Angela Godinho and Kristine Klein, Claimants v. Morgan Stanley DW Inc., Respondent Morgan Stanley DW Inc., Counter-Claimant v. Angela Godinho, Counter-Respondent Case Number: 05-05013 Hearing Site: Denver, Colorado Nature of the Dispute: Associated Persons v. Member Member v. Associated Person REPRESENTATION OF PARTIES For Claimants Stephan Velazquez, O

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Gweneth Den Dooven, Claimant v. A.G. Edwards & Sons, Inc., Insight Capital Research & Management, Inc., and Raymond J. Shreder, Respondents Case Number: 04-07062 Hearing Site: Las Vegas, Nevada Nature of the Dispute: Customer v. Member, Non-Member, and Associated Person REPRESENTATION OF PARTIES For Claimant: David Gaba, Esq. Compass Law Group, PLLC Seattle, Washington

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Narramore Christian Foundation, Claimant v. Wedbush Morgan Securities Inc. and Michael P. Farah, Respondents Wedbush Morgan Securities Inc., Cross-Claimant v. Michael P. Farah, Cross- Respondent Case Number: 04-05032 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member and Associated Person Member v. Associated Person REPRESENTATION OF PARTIES

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Michele Pearson and Jerald Pearson, Claimants v. Merrill Lynch, Pierce, Fenner & Smith Incorporated and Ronald Craig Mulberg, Respondents Case Number: 05-03681 Hearing Site: Seattle, Washington Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES For Claimants: J. Dino Vasquez, Esq. Bullivant Houser Bailey PC Seattle, Washington For

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: 159622 Canada Inc., (Claimant) vs. J.B. Oxford & Company and James Schmitt, (Respondents) Case Number: 99-02315 Hearing Site: Albany, New York REPRESENTATION OF PARTIES Claimant, 159622 Canada Inc., hereinafter referred to as "Claimant": Marc Valin, Director, 159622 Canada Inc., Quebec, Canada. Respondents, J.B. Oxford & Company ("Oxford") and James Schmitt ("Schmitt"), he

Award COPY NASD Dispute Resolution In the Matter of the Arbitration Between: Diane Truly, individually and as Assignee of the Receiver for Pacific Cortez Securities Incorporated f/k/a La Jolla Capital Corporation, Claimant v. Salomon Grey Financial Corporation, Harold B. Gallison, Jr., Harold B. Gallison, Sr., Troy J. Flowers, Kyle B. Rowe, Angelo P. Koupas, Cris D. Sagnelli, Christos V. Kiziroglou, Gregory K. Mehlmann, Frank Drechsler, Randall Lanham, Shar

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Cynthia Apichino vs. Case Number: 05-02099 Hearing Site: Dallas, Texas Names of Respondents InterSecurities, Inc., AFSG Securities Corporation, and Jeffrey William McClure NATURE OF THE DISPUTE Customer vs. Members and Associated Person REPRESENTATION OF PARTIES Cynthia Apichino ("Claimant") was represented by Lee Bowie, Esq., Davidson, Bowie

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Katherine L. Schrank vs. Names of Respondents RBC Dain Rauscher, Inc. and Michael L. Schrank Case Number: 05-06115 Hearing Site: Milwaukee, Wisconsin NATURE OF THE DISPUTE Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Katherine L. Schrank ("Claimant") was represented by David J. Hase, Esq., Cook & Franke S.C., Milwau

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant/Counter-Respondent Morgan Keegan & Company, Inc. vs. Case Number: 05-04413 Hearing Site: Dallas, Texas Name of Respondent/Counter-Claimant David M. Ritz NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES Morgan Keegan & Company, Inc. ("Morgan Keegan") was represented by Shea O'Brien Hicks, Esq., Morgan Keegan & Company,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Barbara J. Coleman, Claimant v. Morgan Stanley DW Inc. and Learned J. Hand, Respondents Case Number: 06-00496 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Donald E. Karpel, Esq. Law Offices of Zelner & Karpel Beverly Hills, California For Respondent Morgan Stanley DW Inc.: Ke