AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Bruce R. Trabb vs. Case Number: 05-04994 Hearing Site: Chicago, Illinois Name of Respondent J.P. Morgan Securities, Inc. f/k/a Bane One Capital Markets, Inc. NATURE OF THE DISPUTE Associated Person vs. Member REPRESENTATION OF PARTIES Bruce R. Trabb ("Claimant") was represented by Michael M. Mulder, Esq., Meites, Mulder, Mollica & Glink, Chicago,

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Borough of Crafton as Trustee for the Borough of Crafton Employee's Pension Fund and the Borough of Crafton Police Pension Fund vs. Case Number: 05-04313 Hearing Site: Pittsburgh, Pennsylvania Names of Respondents Morgan Stanley DW Inc., Sean McClorey, and Steven W. Wilde NATURE OF THE DISPUTE Customer vs. Member and Associated Per

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Sharon Bennett vs. Case Number: 05-04081 Hearing Site: Dallas, Texas Names of Respondents Tracy Lane Melder, Rudolph Andrew Hanson, Jr., Conseco Securities, Inc., f/k/a Conseco Financial Services, Inc., ProEquities, Inc., and Legend Equities Corporation NATURE OF THE DISPUTE Customer vs. Members, Terminated Member and Associated Persons REPRE

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant/Counter-Respondent Wachovia Securities, LLC vs. Name of Respondent/Counter-Claimant Jon K. Stacker Case Number: 05-02220 Hearing Site: Indianapolis, Indiana NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES Wachovia Securities, LLC ("Wachovia") was represented by Douglas D. Callaway, Esq., Wachovia Securities, LLC,

Award NASD Efispute Resolution In the Matter of the Arbitration Between: p. rvf fh? ^IflJmflut *"*fliSf- ^Jnmhpr- 01 -fH 1 "3^ George Koeckritz, Sr. Name. nf thp RftspnpHp.nt^: fJparing Kite- Chicago, Illinois Prudential Securities, Inc., and Bennett A. Mostel Q17 Claimant George Koeckritz, Sr., hereinafter referred to as "Claimant": James M. DeZelar, Esq., of Robbins, Salomon & Pratt, LTD., located in Chicago, Illinois. Respondents Prudenti

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Dr. William G. and Karen Carey, Individually, Jointly and as Custodians of their IRA Accounts vs. Case Number: 05-02058 Hearing Site: Indianapolis, Indiana Names of Respondents Raymond James Financial Services, Inc., Frederick L. Dowd, Jeffrey B. Osher, and Fred L. Dowd and Company NATURE OF THE DISPUTE Customers vs. Member, Associated Persons

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Michael K. Rainer and Lynn M. Rainier vs. Case Number: 05-00546 Hearing Site: Dallas, Texas Names of Respondents Citigroup Global Markets, Inc., f/k/a Salomon Smith Barney, Inc. and Thomas F. Macduff NATURE OF THE DISPUTE Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Michael K. Rainer and Lynn M. Rainier ("Claimants")

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Marion G. and Sharron Spencer vs. Case Number: 03-02982 Hearing Site: Dallas, Texas Names of the Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc.; David H. Komansky; Deepak D. Raj; and, Andrew J. Melnick NATURE OF THE DISPUTE Customers vs. Member and Associated Persons REPRESENTATION OF PARTIES Marion G. and Sharron Sp

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Arbitration National Association of SccuritlM D«al*rs, Inc. One East Broward Boulevard Suite 1000 Ft. lauderdale, Florida 33301 (305) 522-7391 In the Matter of the Arbitration Between Name of Claimant (a) Patrick McFarland Name of Respondent (a) Rober Financial Corporation Richard M. Gswlick Waterhouse Financial Inc. John J. Flynn, Jr. Michael Albert a/k/a

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the (fetter of the Arbitration Between ) Name of Clairrant{g) ) Judith Stavis ) ) Case No. 90-00140 Name of Respondent|a) ) Profile investments Corp. ) Robert Schlein ) Madlyn Ferro ) Alan Beshany ) Heard before the members of the Arbitration Panel: Casey W. Hills, Esq. Arieh Leo Douer George Silver % CASE SUMMtr This claim was filed with the National Associatio