tf.A.S.LI. NATICNBL ASSCdAOTCN OF SECURITIES DEALERS Arbitration National Aaaociation of Securities Oeatan. Inc. NASD Financial Center 33 Whitehall Street New YorK. New York 10004 In the Matter of the Arbitration Between Elizabeth M. Beecy vs Vincent Cortina Case # 90-00094 This claim was filed with the National Association of Securities Dealers, Inc. on January 5, 1990. The hearing was conducted in Boston, Massachusetts

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Scottrade, Inc., Claimant v. DMC Lending, Inc., Respondent Case Number: 06-02484 Hearing Site: Phoenix, Arizona Nature of the Dispute: Member v. Customer REPRESENTATION OF PARTIES For Claimant: Thomas L. Azar, Jr., Esq. Thompson Coburn, LLP St. Louis, Missouri For Respondent: The Company President DMC Lending, Inc. Fountain Hills, Arizona CASE INFORMATION Sta

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Bane of America Investment Services, Inc., Claimant v. Art De La Rosa, Respondent Art De La Rosa, Counter-Claimant v. Bane of America Investment Services, Inc., Counter-Respondent Case Number. 06-00390 Hearing Site: Los Angeles, California Nature of the Dispute: Member v. Associated Person Associated Person v. Member REPRESENTATION OF PARTIES For Claimant / Counte

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Mary Nassimi, Claimant v. Brookstreet Securities Corporation and Allen Haghighinia, Respondents Case Number: 05-05905 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Eric A. Woosley, Esq. Law Offices of Zilinskas & Woosley Santa Barbara, California For Respondents: Gregory J. Sh

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Maurice Sanchez, Claimant v. Citigroup Global Markets, Inc. and Jeremy J. Martinez and the Estate of Carl D. Weiner, Respondents Case Number: 05-04826 Hearing Site: Albuquerque, New Mexico Nature of the Dispute: Customer v. Member and Associated Persons REPRESENTATION OF PARTIES For Claimant: Paul Melendres, Esq. Melendres & Melendres Albuquerque, New Mexico For Responde

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Jerry and Margarita Ruchaevsky, (Claimants) vs. Edward F. Sadowski, (Respondent) Case Number: 01-03134 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Jerry Ruchaevsky ("J. Ruchaevsky") and Margarita Ruchaevsky ("M. Ruchaevsky"), hereinafter collectively referred to as "Claimants", appeared pro se at the hearing in this matter. Respondent, Edward F. Sadow

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Merrill Lynch, Pierce, Fenner & Smith Incorporated, Claimant v. Jerry L. Nichols and UBS Financial Services, Inc., Respondents Jerry L. Nichols, Counter-Claimant v. Merrill Lynch, Pierce, Fenner & Smith Incorporated, Counter-Respondent Case Number: 05-02916 Hearing Site: Phoenix, Arizona Nature of the Dispute: Member v. Member and Associated Person Associated Person v. Member

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Piper Jaffray & Co., Claimant v. Lawrence F. Kipp, Respondent Lawrence F. Kipp, Counter-Claimant v. Piper Jaffray & Co., Counter-Respondent Case Number: 04-08848 Hearing Site: San Francisco, California Nature of the Dispute: Member v. Associated Person Associated Person v. Member REPRESENTATION OF PARTIES For Claimant/Counter-Respondent Piper Jaffray & Co. ("Piper Jaffray")

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: John S. Surinchak and Linda L. Surinchak, Claimants v. Gilford Securities, Inc.; Cantella & Co., Inc.; Shane Redmond; Van Raphael Neely; and Porter Investment Group LLC, Respondents Case Number: 04-08830 Hearing Site: San Francisco, California Nature of the Dispute: Customers v. Members, Associated Persons, and Non-Member REPRESENTATION OF PARTIES For Claimants: Micha

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Rhoda Glass (Claimant) vs. American Express Financial Advisors, Inc., and Knut Lundberg (Respondents) Case Number: 05-00043 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Rhoda Glass hereinafter referred to as "Claimant": Daniel J. Donovan, Esq., Donovan and Rainie, LLC, Baltimore, MD. Res