Award NASD Dispute Resolution In the Matter of the Arbitration Between: Hari S. Dadlani (Claimant) v. Quick & Reilly, Inc. and U.S. Clearing Corp. (Respondents) Case Number: 99-04954 Hearing Site: Buffalo, New York Nature of the Dispute: Customer vs. Members. REPRESENTATION OF PARTIES Claimant Hari S. Dadlani hereinafter referred to as "Claimant": Jessica Reynolds-Amuso, Esq., Reynolds & Henehan, Avon, NY. Previously represented by Larry Kerman,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Manouchehr Malek, Claimant v. Pellet Investments, Inc., Ronald N. Pellet, Kenneth R. Kadan, Neil D. Silver and Edwin Dogobert Bransome, III, Respondents Case Number: 97-01498 Hearing Site: Los Angeles, California Nature of the Dispute: Customer vs. Member and Associated Persons REPRESENTATION OF PARTIES For Claimant: Manouchehr Malek Corona Del Mar, California For Respondent

Award NASD In tne Matter ot tne Arbitration between: Names of the Claimants Case Number: 01-02403 Approach, Inc. Quinn Technologies, LTD Names of the Respondents Hearing Site: Boca Raton, Florida Luigi Mazza Morgan Stanley Dean Witter, Inc. REPRESENTATION OF PARTIES For Approach, Inc. ("Approach") and Quinn Technologies, LTD ("Quinn"), hereinafter referred to as "Claimants": Curtis Carlson, Esq., Payton & Carlson, P.A., Miami, Florida. F

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Edward Alt (Claimant) vs. 1717 Capital Management (Respondent) Case Number: 06-03943 Hearing Site: New York, New York Nature of the Dispute: Associated Persons vs. Member. REPRESENTATION OF PARTIES Claimants Edward Alt hereinafter referred to as "Claimant": Jonathan P. Arfa, Esq., Jonathan P. Arfa, P.C., White Plains, NY. Respondents 1717 Capital Management hereinafter referred

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 06-02109 Daniel T. King, (Claimant) vs. John MacColl and Morgan Stanley, DW, Inc., (Respondents) ATTORNEYS: For Claimant appeared Alice L. Stewart, Esq. of The Duquesne University Law School, Pittsburgh, PA. For Respondents appeared in-house counsel, Andrew Lipton, Esq., Purchase, NY. NATURE OF DISPUTE: Customer v. Member and Associated Person DATE FILED: April 25, 2006 CASE SUMMARY

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 06-02068 Jeffrey A. Swede and Jeanne O. Swede, (Claimants) vs. Suzanne Sellars and Citigroup Global Markets, Inc., (Respondents) ATTORNEYS: " Claimants appeared pro se, Newport Beach. CA. For Respondents appeared Ashley Young Adams, Esq., of the firm Keesal, Young & Logan, Long Beach, CA. NATURE OF DISPUTE: Customer v. Member and Associated Person DATE FILED: April 24, 2006 CASE SUM

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 06-01895 5740 Incorporated, (Claimant) vs. Ameritrade, Inc. (Respondent) ATTORNEYS: For Claimant appeared Ricardo Escalante, Belize City, Belize. For Respondent appeared in-house counsel, James J. Vihstadt, Bellevue, NE. NATURE OF DISPUTE. Customer vs. Member DATE FILED: April 10, 2006 CASE SUMMARY: Claimant alleged that Respondent negligently handled its account and breached its fiduci

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 06-01792 Harian Parten, (Claimant) vs. Gardner Financial Services, Inc. and Thomas Stoltman, (Respondents) ATTORNEYS: For Claimant appeared Gayle Spiess, Little Canada, MN. For Respondents appeared Richard A. Lind, Esq., of the firm Lind Jensen Sullivan Peterson, Minneapolis, MN. NATURE OF DISPUTE: Customer v. Member and Associated Person DATE FILED: April 6, 2006 CASE SUMMARY: Clai

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: John A. Barrymore, Claimant v. Piper Jaffray & Co., Respondent Case Number: 06-01603 Hearing Site: San Francisco, California Nature of the Dispute: Associated Person v. Member REPRESENTATION OF PARTIES For Claimant: Shannon H. Alexander Weissmann Wolff Bergman Coleman Grodin & Evall LLP Beverly Hills, California For Respondent: Christine Esckilsen Piper Ja

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Thomas D. Gleason, Augustus M. Gleason, and Luke D. Gleason by and through their parents and guardians Thomas H. Gleason and Adelaide Nardone (Claimants) vs. Spencer Trask Ventures, Inc. and Scott F. Schulte (Respondents) Case Number: 06-00835 Hearing Site: Providence, Rhode Island Nature of the Dispute: Customers vs. Member and Associated Person REPRESENTATION OF PARTIES