Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 01-02407 Yvonne C. Kendrick Names of the Respondents Hearing Site: Atlanta, Georgia Morgan Stanley Dean Witter, Inc. Karen Hartman REPRESENTATION OF PARTIES For Yvonne C. Kendrick, hereinafter referred to as "Claimant": Richard Allan Kaye, Esq., Smith Moore LLP, Atlanta, Georgia and Steven J. Card, Esq., Gard Smiley Bishop & Dovin, LLP,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Virginia Cilny-Swick (Claimant) vs. Frank C. Scarito and Lombard Securities Incorporated (Respondents) Case Number: 03-03326 Hearing Site: Boston, Massachusetts Nature of the Dispute: Customer vs. Associated Person and Member REPRESENTATION OF PARTIES Claimant Virginia Cilny-Swick hereinafter referred to as "Claimant": Matthew J. Turtle, Esq., and Harry S. Miller, Esq., Burns &

Award NASD Dispute Resolution In the Matter of the Arbitration Between: John David McBride (Claimant) vs. XCU Capital Corp., Inc. (Respondent) Case Number: 05-06019 Hearing Site: Buffalo. New York Nature of the Dispute: Associated Person vs. Member REPRESENTATION OF PARTIES Claimant John David McBride hereinafter referred to as "Claimant": David K. Silverberg, Esq., Silverberg, McGorry, Sellers & Silverberg, Buffalo, NY. Respondent XCU Capital Corp.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Audrey Shaps Revocable Trust dtd 9/5/91, Claimant v. Albert D. Adam, Respondent Case Number: 06-00971 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Associated Person REPRESENTATION OF PARTIES For Claimant: Audrey Shaps In Propria Persona Thousand Oaks, California For Respondent: Judy Louie, Esq. Wachovia Securities, LLC Pasadena, California

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Beagle, Burke & Associates as Guardian for James F. Hazel, Claimant v. A.G. Edwards & Sons, Inc. and Dean G. Alsup, Respondents Case Number: 05-03739 Hearing Site: Portland, Oregon Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Gary M. Berne, Esq. Joshua L. Ross, Esq. Stoll Stoll Berne Lotking & Schlachter Port

Award NASD Dispute Resolution In the Matter of the Arbitration Between: James Rau and Joyce Rau, Claimants v. Stipek Securities, LLC, Leslie C. Stipek, Stipek Financial Services LLC, Sunshine Ventures 1 LLC, Roanoke Equities LLC, and Virginia Equities, Inc., Respondents Case Number: 05-02261 Hearing Site: Los Angeles, California Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES For Claimants: Richard Bryson,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Emerson Investment Corp Profit Sharing Plan, Claimant v. Cambridge Group Investments, LTD, Respondent Case Number: 05-00160 Hearing Site: Las Vegas, Nevada Nature of the Dispute: Customer v. Member REPRESENTATION OF PARTIES For Claimant: Steven E. Clayton ProSe Las Vegas, Nevada For Respondent: Christopher R. Royce, Esq. Howard & Howard Ann Arbor, Michigan

Award COPY NASD Dispute Resolution In the Matter of the Arbitration Between: Brian Barsky, Claimant v. Wells Fargo Investments, LLC, Wells Fargo Securities, Inc., and Anthony P. Brookfield, Respondents Case Number: 04-05778 Hearing Site: San Francisco, California Nature of the Dispute: Customer v. Members and Associated Person REPRESENTATION OF PARTIES For Claimant: Jay T. Jambeck, Esq. The Schinner Law Group San Francisco, California For Re

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Reza and Saba Mokhtari, Claimants v. Capstone Investments and Ryan M. Gainor, Respondents Case Number: 03-04453 Hearing Site: Los Angeles, California Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES For Claimants: William F. Davis, Esq. Law Offices of William F. Davis Los Angeles, California For Respondents: Scott L. Dahle, Esq.

Amended Award NASD Dispute Resolution In the Matter of the Arbitration Between: Shari Nolan, Claimant v. Phillip D. Hurner and Merrill Lynch, Pierce, Fenner & Smith Incorporated, Respondents Case Number: 02-01455 Hearing Site: San Francisco, California Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Richard A. Roth, Esq. The Roth Law Firm, PLLC New York, New York For Respondents: Blanc