Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Ellen Jo Ramsdale, Claimant v. Royal Alliance Associates, Inc., Telesis Financial & Insurance Services, Inc., and Michael L. Fenison, Respondents Case Number: 99-04003 Hearing Site: San Diego, California REPRESENTATION OF PARTIES For Claimant: Robert Scott Dreher, Esq. Jeffrey & Dreher, L.L.P. San Diego, California For Respondents: Louis H. Castoria, Esq.

PUBLIC N.A.S.D. AWARD ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between of Angelo & Judith Costa INVEST Financial Corp. Tnea Broadus Arbitration National Association of Securities Dealers, inc. NASD Financial Center 33 Whitehall Street New York. N.Y. 10004 FAX (212) 858-4389 Case # 91-01873 For Claimant: Harvey R. Peters, Esq. of Peters, Smith & Jfoscardelli. For Respondent: Eugene B. Harp

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants John S. Mooshie and Jere A. Hughes Case No. 90-01871 Name of Respondents Smith Barney Harris Upham & Co., Inc. and Howard Eisenman REPRESENTATION For Claimants, John Mooshie ("Mooshie") and Jere Hughes ("Hughes"): Robert Dyer, Esq. of Allen, Dyer, Doppelt, Franjola & Milbrath, P. A. of Orlando, Florida. For Respondent,

N.A.S.D. AWARD ASSOdKTICN OF MHilui'iTBH DEAI£RS In the Matter of the Arbitration. Between Ronald vs. 91-01604 Name of Respondent (s) Stuart-James Company Incorporated William Calvert For Claimant: Mitchal C. Greed, Esq. For Pft f^" • iH«g»t; Williani Calvect **""** "'jl.'Aii Mtatin M. B****** ^TMIT, Esc[. Stateoent of Halm fned: May 23, 1591 dadmaat's Submission Agreement signed oa: April 26, 1391 Respondent William Gal-vert Kan

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between James J. Mainello c/f Timothy James Mainello Claimant(s) vs. 90-00783 Prescott, Ball & Turben, Inc. and Ted Karle Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) James J. Mainello c/f Timothy James Mainello alleged that Respondent(a) Prescott, Ball & Turban, Inc. and Ted Karle made an unsuitable investment and misreprese

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Deutsche Bank Securities, Inc. vs. Case Number: 06-02386 Hearing Site: Dallas, Texas Names of Respondents The Stanford Financial Group, Michael Trent Miller, Stephen D. Robinson, Elizabeth Ann Erickson, Lori Sensing, Eddie Rollins, and Jason D'Amato and Names, of Counter-Claimants Michael Trent Miller and Stephen D. Robinson

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Bane of America Investment Services, Inc. vs. Case Number: 06-02161 Hearing Site: Dallas, Texas Name of Respondent Bryan Todd Smith NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES Bane of America Investment Services, Inc. ("Claimant") was represented by Ronald Kane, Esq., Kane & Fischer, Ltd., Chicago, Illinois. B

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Susan Ann Johnson vs. Names of Respondents Wells Fargo Investments, LLC and Stephen Edward Kruchten Case Number. 05-06446 Hearing Site: Minneapolis, Minnesota NATURE OF THE DISPUTE Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Susan Ann Johnson ("Claimant") was represented by Richard I. Diamond, Esq., Richard I. Diam

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant John W. Hartsell vs. Case Number: 05-06306 Hearing Site: Troy, Michigan Name of Respondent Edward D. Jones & Co. NATURE OF THE DISPUTE Customer vs. Member REPRESENTATION OF PARTIES John W. Hartsell ("Claimant") was represented by Samuel B. Edwards, Esq., Shepherd Smith & Edwards, L.L.P. Houston, Texas. Edward D. Jones & Co. ("Respondent") was

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Hazel Brendler, Individually and as Executrix of the Estate of Richard Brendler vs. Names of Respondents Edward D. Jones & Co., L.P. and Michael Amory Case Number: 05-05418 Hearing Site: Charleston, West Virginia NATURE OF THE DISPUTE Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Hazel Brendler, Individually and a