Award NASD Dispute Resolution In the Matter of the Arbitration Between: McMahan Securities Co., L.P. (Claimant) v. Michael Shillan (Respondent) and Michael Shillan (Claimant) v. McMahan Securities Co., L.P. (Respondent) Case Number: 04-05460 Hearing Site: New York, New York (consolidated with 04-05656) Nature of the Dispute 04-05460: Member v. Associated Person Nature of the Dispute 04-05656: Associated Person v. Member REPRESENTATION OF PARTIES

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Douglas S. Hughes, (Claimant) vs. Discover Brokerage Direct and Lombard Institutional Brokerage (Respondents) Case Number: 99-02308 Hearing Site: New York, NY REPRESENTATION OF PARTIES Claimant, Douglas S. Hughes, hereinafter referred to as "Claimant": Agnes S. Park Esq., Honen & Wood, P.C., Albany, NY. Respondent, Discover Brokerage Direct ("Discover"): Robert T. Sullwold, Esq.,

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Karl Neuwiler, Inc. Pension Trust and Karl Neuwiler, Inc. Employees Profit Sharing Plan (Claimants) v. Carla G. Bond and Merrill Lynch, Pierce, Fenner & Smith, Inc. (Respondents) v. Daniel Neuweiler (Third-Party Respondent) Case Number. 04-00829 Hearing Site: Newark, New Jersey Nature of the Dispute: Customers v. Associated Person and Member v. Customer REPRESENTATION OF

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Richard Vitale, Richard Vitale IRA Rollover, and Paul Stavrolakes (Claimants) v. Salomon Smith Barney, Inc., n/k/a Citigroup Global Markets Inc. and Jordan Mayer Case Number: 03-02920 Hearing Site: New York, New York Nature of the Dispute: Customers v. Member and Associated Person. REPRESENTATION OF PARTIES Richard Vitale ("Vitale"), Richard Vitale IRA Rollover ("Vitale I

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-00686 Roberta S. Fowler Names of the Respondents Hearing Site: Atlanta, Georgia A.G. Edwards & Sons, Inc. Frederick J. Barton Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Roberta S. Fowler, hereinafter referred to as "Claimant": Theodore E.G. Pound, Esq. and Natalie Woodward, Esq., Ma

AMENDED AWARD NASD DISPUTE RESOLUTION In the Matter of the Arbitration Between: Prudential Equity Group, LLC f/k/a Prudential Securities, Incorporated vs. George Stanley Blake Case Number: 06-00024 SITUS: Atlanta, Georgia NATURE OF DISPUTE: Member vs. Associated Person. REPRESENTATION OF PARTIES Prudential Equity Group, LLC, hereinafter referred to as "Claimant": Alan M. Lubiner, Esq., Lubiner & Schmidt, Cranford, New Jersey. Resopndent did

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number. 05-05139 Albert Awakim, Individually Albert Awakirn IRA Rollover DTD Marc B. Wolin as Authorized Agent and Representative of Deborah D. Wolin Deborah D. Wolin Roth IRA Marc B. Wolin Roth IRA Kendall A. Wolin UTMA Deborah D. Wolin Traditional IRA Marc B. Wolin Traditional IRA Courtney M. Wolin Names of the Respondents Hearin

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Name of the Claimant Case Number: 05-03801 P. Justin Pearlstone Names of the Respondents Hearing Site: Boca Raton, Florida McLaughlin, Piven, Vogel Securities, Inc. James Joseph McLaughlin, Sr. James Cecil McLaughlin James Michael Kennedy Edward Thomas Brienza Ira Arnold Cohen Nature of the Dispute: Customer vs. Member and Associated Person. REPR

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 05-02772 Johnny L. Timm Names of the Respondents Hearing Site: Atlanta, Georgia National Securities Corp. Dwayne Samboy Joon Rhee Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Johnny L. Timm, hereinafter referred to as "Claimant": Greg L. Thorpe, Esq., Law Offices of G. Lynn Thorpe, N

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 05-00701 John H. Chandler, Jr. and Kathleen W. Chandler Name of the Respondent Hearing Site: Memphis, Tennessee Morgan Keegan & Co., Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For John H. Chandler, Jr. and Kathleen W. Chandler, hereinafter collectively referred to as "Claimants": H. Naill Falls, Esq., Fa