Award NASD Dispute Resolution In the Matter of the Arbitration Between: Jeffrey L Buller and Jeffrey L. Buller Revocable Trust dtd 11/23/99, Claimants v. Smith Hayes Financial Services Corporation, Respondent Case Number: 05-06524 Hearing Site: Phoenix, Arizona Nature of the Dispute: Customers v. Member REPRESENTATION OF PARTIES For Claimants: Lawrence L. Klayman, Esq. Klayman & Toskes, P.A. Boca Raton, Florida For Respondent: James M. B

Award NASD Dispute Resolution COPY In the Matter of the Arbitration Between: Prudential Equity Group, LLC f/k/a Prudential Securities Incorporated, Claimant v. Jonathon E. Stanley, Jr., Respondent Case Number: 05-04830 Hearing Site: San Diego, California Nature of the Dispute: Member v. Associated Person REPRESENTATION OF PARTIES For Claimant: David W. Schmidt, Esq. Erin A. Rowin, Esq. Lubiner & Schmidt Cranford, New Jersey For Respo

Amended Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 05-05184 Walter E. MacDonald and Wanita B. MacDonald, individually and on behalf of their respective Roth IRA Accounts and Individual Retirement Accounts Name of the Respondent Hearing Site: Tampa, Florida Morgan Keegan & Company, Inc. Nature of the Dispute: Customer v. Member. REPRESENTATION OF PARTIES For Walter E. Ma

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number. 03-08500 Rosa Concepcion Vaccaro Gold Star Holdings, Ltd. Albena Investments, Ltd. Name of the Respondent Hearing Site: Boca Raton, Florida Merrill Lynch, Pierce, Fenner & Smith, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Rosa Concepcion Vaccaro, Gold Star Holdings, Ltd., and Albena Investments, Ltd.

Arbitration No. 01-02904 Award Page 1 of 7 Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants Case Number: 01-02904 Catherine M. Marchesi, individually and on behalf of Catherine M. Marchesi, trustee, Michael Bera Trust Deceased, and Catherine M. Marchesi, trustee Catherine M. Marchesi Revocable Living Trust Name of the Respondents Hearing Site: New York, New York May Davis Group William D. Laemmel

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-01822 David Gary Eigen Names of the Respondents Hearing Site: Boca Raton, Florida Capital Growth Financial, LLC Gary Jon Krystyniak Nature of the Dispute: Customer v. Member and Associated Person. REPRESENTATION OF PARTIES David Gary Eigen, hereinafter referred to as "Claimant," appeared pro se. For Capital Growth Financial, LLC ("CGF

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-00527 Gary Gross and John Page Name of the Respondent Hearing Site: Boca Raton, Florida UBS PaineWebber, Inc. Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES For Gary Gross ("Gross") and John Page ("Page"), hereinafter collectively referred to as "Claimants": Eugene M. Kennedy, Esq., Law Offices of Kennedy

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 05-01561 Mildred V. Fullford, Trustee Names of the Respondents Hearing Site: Orlando, FL Merrill Lynch, Pierce, Fenner& Smith, Inc. Richard Sane Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES For Mildred V. Fullford, Trustee, hereinafter referred to as "Claimant": Robert Dyer, Esq., Allen, Dyer

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Douglas M. Cherry, Lance K. Dyess, Ira J. Edmundson, Jimmy E. Jones, Rachel McKinney, Linda J. Middleton and Victor E. Stafford Name of the Respondent Raymond James & Associates, Inc. Case Number: 05-03030 Hearing Site: Birmingham, Alabama, Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Douglas M. Cherry ("Che

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 05-02495 Richard C. Emerson Name of the Respondent Hearing Site: Boca Raton, Florida Merrill Lynch Pierce Fenner & Smith, Inc. Nature of the Dispute: Associated Person vs. Member. * REPRESENTATION OF PARTIES For Richard C. Emerson, hereinafter referred to as "Claimant": Liam O'Brien, Esq., Liam O'Brien & Associates, New York, New York. F