Award NASD Dispute Resolution In the Matter of the Arbitration Between: Joseph T. LaMarca and Thomas J. LaMarca, Claimants v. TD Waterhouse Investor Services, Inc. and Wendy M. Bryce, Respondents Case Number: 06-00415 Hearing Site: San Diego, California Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES For Claimants: Joseph T. LaMarca In Propria Persona and as Party Representative for Thomas J. LaMarc

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Scott Friedman v. 06-00388 Minneapolis, Minnesota Respondents Morgan Stanley DW, Inc., and John Eric Falldin NATURE OF DISPUTE Customer v. Member Firm and Associated Person REPRESENTATION Op PARTIES Scott Friedman ("Claimant") was represented by Donald R. McNeil, Esq., of Coleman, Hull & Van Vliet, PLLP, Minneapolis, Minnesota. Morgan Stanley DW, Inc.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Jesse L.B. Hill and Marianne Buckmeyer, Claimants v. Morgan Stanley DW Inc., John A. Bernard, and Cheryl D. Millard, Respondents Case Number: 06-00305 Hearing Site: Los Angeles, California Nature of the Dispute: Customers v. Member, Non-Member, and Associated Person REPRESENTATION OF PARTIES For Claimants: Jesse L.B. Hill, Esq. Law Offices of Jesse L.B. Hill San Luis Obispo,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Fidelity Brokerage Services, LLC, Claimant v. Amador Vargas, Jr., Respondent Case Number: 06-00239 Hearing Site: Los Angeles, California Nature of the Dispute: Member v. Customer REPRESENTATION OF PARTIES For Claimant: Laurence K. Richmond, Esq. Laurence K. Richmond & Associates, P.C. Quincy, Massachusetts CASE INFORMATION Statement of Claim filed: January 12, 2006 C

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 06-00213 Fidelity Brokerage Services, LLC, (Claimant) vs. K. Johnson & Associates, (Respondent) ATTORNEYS: For Claimant appeared Laurence K. Richmond, Esq., of the firm Laurence K. Richmond & Associates, P.O., Quincy, MA. Respondent did not submit an Answer to the Statement of Claim. NATURE OF DISPUTE: Member vs. Customer DATE FILED: January 12,2006 CASE SUMMARY: Claimant alleged th

Award NASD Dispute Resolution In the Matter of the Arbitration Between: r.fl< ift Number 01-03084 Terry Sherman n f Thf P^spop^^nt? Hearing ftitfv Houston, Texas Salomon Smith Barney Inc. A/K/A Consulting Group- Wilmington, James D. Stoker II, Ray J. Miller and Nigel J. Bowman RFPRFSFNT4TTON OF Claimant, Terry Sherman, hereinafter referred to as "Claimant": Jo Ann Merica, Esq., of Merica, & Bourland, P.C., located in Austin, Texas. Re

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 00-00941 Carine V. Alma, claimant vs. David W. Ormes, respondent. ATTORNEYS: Claimant appeared Pro Se., Garden City, NY. For Respondent appeared Kim Amendola, Compliance Assistant for Ormes Capital Markets, Inc., New York, NY. DATE FILED: March 3, 2000 CASE SUMMARY: Claimant alleged that respondent failed to pay the remaining balance due on a report that he requested. ARBITRAT

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-03095 UBS PaineWebber, Inc. n/k/a UBS Financial Services, Inc., Claimant vs. Kelly Doyle, Respondent. ATTORNEYS: ~~~" For Claimant, UBS PaineWebber, Inc. n/k/a UBS Financial Services, Inc., ("Claimant") appeared Laura Martin, Esq. of the firm Davidson, Manchel & Brennan, LLP, Northvale, NJ, formerly represented by Romaine L. Gardner, Esq., Staten Island, NY. Respondent, Kelly Doyle, ("Re

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Cassandra S. Kwoh, Claimant v. Salomon Smith Barney n/k/a Citigroup Global Markets, Inc. and Alina Brindusescu, Respondents Case Number: 03-02220 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Irene M. Mak, Esq. Law Offices of Irene M. Mak Woodland Hills, California

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-01184 UBS Financial Services Inc. Name of the Respondent Hearing Site: Atlanta, Georgia Daniel Haralson Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For UBS Financial Services Inc. ("UBS"), hereinafter referred to as "Claimant": Brent A. Bums, Esq., Davidson, Manchel & Brennan, LLP, Northvale,