NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 06-01043 Anderson & Strudwick, Incorporated, (Claimant) vs. Harrison Lee Blackwell, (Respondent) ATTORNEYS: For Claimant appeared Douglas M. Nabhan, Esq., of the firm Williams Mullen, Richmond, VA. Respondent appeared pro se, Charleston, SC. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: February 28, 2006 CASE SUMMARY: Claimant alleged that Respondent breached a contract

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 06-01789 Stewart Laurie McFadden, (Claimant) vs. Wells Fargo Investments, LLC, (Respondent) ATTORNEYS: Claimant appeared pro se, Colorado Springs, CO. For Respondent appeared in-house counsel Thomas F. Kopshever, Esq., San Francisco, CA. NATURE OF DISPUTE: Associated Person vs. Member DATE FILED: April 6, 2006 CASE SUMMARY: Claimant alleged libel or slander on his Form U-5. Claimant

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Elka Goldenberg (Claimant) vs. Capital Securities of America, Inc. (Respondent) Case Number: 06-00848 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant Elka Goldenberg, hereinafter referred to as ("Claimant"): Benjamin Lapin, Stock Market Recovery Center, Brooklyn, NY. Respondent Capital Securities of America, Inc., he

Award NASD Dispute Resolution Thomas P. Higgins vs. Allmerica Investments, Inc. n/k/a Veravest Investments, Inc. and Robert A. Healy Case Number: 06-00815 Hearing Site: Charlotte, North Carolina Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant, Thomas P. Higgins, hereinafter referred to as "Claimant", was represented by Nicholas D. Thomas, Esq., Attorney at Law, Vero Beach, Florida. Respondent, All

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 06-00753 Richard Larry Eggers and JoAnna Eggers, (Claimants) vs. Legg Mason Wood Walker, Inc. and Paul Higgins, (Respondents) ATTORNEYS: Claimants appeared pro se, Buchanan, VA, For Respondent Legg Mason Wood Walker, Inc. appeared in-house counsel Jason W. Gaarder, Esq., Baltimore, MD. Respondent Paul Higgins did not submit an Answer to the Statement of Claim. NATURE OF DISPUTE: Custome

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Joan Lyman (Claimant) v. Charles Schwab & Company Inc., Ogilvie Security Advisors Corporation, Huber Financial Group, Limited, and David J. Huber (Respondents). Case Number: 01-03088 Hearing Site: Chicago, Illinois REPRESENTATION OF PARTIES Paul J. Sussman, Esq. located in Chicago, Illinois represented Claimant Joan Lyman. Curt H. Mueller, Esq., located in San Francisco, C

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 06-00688 Thomas M. Kelty, (Claimant) vs. H&R Block Financial Advisors, Inc., (Respondent) ATTORNEYS: Claimant appeared pro se, Zweibruecken, Germany. For Respondent appeared in-house counsel, Lisa S.Fildes, Esq., Detroit, Ml. NATURE OF DISPUTE: Customer vs. Member DATE FILED: February 7, 2006 CASE SUMMARY: Claimant alleged that Respondent placed him in investments that were unsuitab

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 06-00679 First Montauk Securities Corp., (Claimant) vs. Kenneth Schober, (Respondent) ATTORNEYS: For Claimant appeared Michael S. Colombo, President and CEO of Streetwide Asset Recovery Group, Inc., Lyndhurst, NJ. Respondent did not submit an Answer to the Statement of Claim. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: February 9, 2006 CASE SUMMARY: Claimant alleged that

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 06-00587 David Shaw Butterworth, (Claimant/Counterclaim Respondent) vs. Securities Service Network, Inc., (Respondent/Counterclaim Claimant) ATTORNEYS: Claimant/Counterclaim Respondent appeared pro se, Lancaster, PA. For Respondent/Counterclaim Claimant appeared in-house counsel Ronald T. Klimas, Knoxville, TN. NATURE OF DISPUTE: Associated Person vs. Member DATE FILED: February 3, 2006

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 06-00503 Prudential Equity Group, LLC f/k/a Prudential Securities, Inc., (Claimant) vs. Christopher D. Johnson, (Respondent) ATTORNEYS: For Claimant appeared Erin A. Rowin, Esq., of the firm Lubiner & Schmidt, Cranford, NJ. Respondent did not submit an Answer to the Statement of Claim. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: January 31,2006 CASE SUMMARY: Claimant