N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Toolcraft Supply, Inc. 94-01647 Mame nf Respondents James W. Billiard John Puglisi Cantella & Company Securities Planners, Inc. J.W. Bullard & Co. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 3, 1994, Claimant Toolcraft Supply, Inc. ("Claimant"), through its represen

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Joseph Wilk 94-01645 Name of Respondent Prudential Securities Inc REPRESENTATION For Claimant: Allan R. Freedman, Esq., New York, New York. For Respondent: Kirsten Hotchkiss, Esq. of Prudential Securities Incorporated, New York, New York. CASE INFORMATION Statement of Claim filed: May 2, 1994. Claimant's Submission

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claitnant(s) David D. Becker 94-01639 Name of Respondents) Kirkpatrick, Pettis, Smith, Polian Inc. James Clark , ^ CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 3, 1994, Claimant David D. Becker, who appeared Pro Se, alleged that Respondents Kirkpatrick Pettis, Smith, Polian, Inc.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Harold W. Estill 94-01636 Name of Respondents Brokers Investment Corporation Norman Shubert Daniel Steinberg Michael Markow Jonathan Shoucair Raymond Niesslein Sovereign Cap. Group, a California Corp William Lawrence Securities, Inc. Martin W. May REPRESENTATION For Claimant Harold W. Estill ("Claimant")

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Theodore R. Aho Award # vs. 94-01635 Name of Respondents PaineWebber, Inc. Frank Novak REPRESENTATION For Claimant, Theodore R. Aho ("Claimant") John R. Blake, Esq., form the law firm of Bowditch & Dewey, located in Worcester, Massachusetts. For Respondents, PaineWebber, Inc. ("PaineWebber") and Frank Novak ("Novak")

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 06-04279 Fidelity Brokerage Services LLC FMR Corp. Name of the Respondent Hearing Site: Baltimore, Maryland Philip A. Rousseaux, Jr. Nature of the Dispute: Member and Non-Member vs. Associated Person. REPRESENTATION OF PARTIES For Fidelity Brokerage Services LLC and FMR Corp., hereinafter collectively referred to as "Claiman

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-00602 Bill F. Ford Names of the Respondent Hearing Site: Columbia, South Carolina Brinker Capital Securities, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Bill F. Ford ("Ford"), hereinafter referred to as "Claimant": Milton H. Fried, Jr., Esq., Woska & Hayes, LLP, Houston, Texas. For Brinker Capital S

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 05-06350 Eleanor C. Henley Carlee J. Henley Bonnie Lisk Myron Barbee Lorene Easley Elizabeth Davis Netherlan Davis Mary Smith Jan Cameron William W. Roberts William E. Roberts Lloyd Easley Steven Gordon Eugene A. Blackwell Elizabeth Blackwell Mildred Price George Price Archie Jordan Name of R

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Wachovia Securities, LLC Name of Respondent Gregg F. Gallagher Case Number: 05-05125 Hearing Site: Boca Raton, Florida Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Wachovia Securities, LLC ("Wachovia"), hereinafter referred to as "Claimant": Adam J. Steinberg, Esq., Carlton Fields, P.A., Miami, Florida. R

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 01-03014 Weisensel Family Trust, Claimant vs. Russo Securities Inc. and William Brown, Respondents. ATTORNEYS: For Claimant, Weisensel Family Trust, appeared Stanley T. Padgett, Esq., of the firm Morgan, Padgett & Associates, P.A., Tampa, FL. For Respondent, Russo Securities Inc., appeared Ron Armitage, Compliance Department of Russo Securities, Inc., Staten Island, NY. For Respondent