Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Charles J. Mailman, Individually and as former Trustee of the Chasma Scientific, Inc. Profit Sharing Plan and Trust and Chasma Scientific, Inc. (Claimants) vs. Legg Mason Wood Walker, Inc. and A.C. Barnes McNevin, III (Respondents) Case Number: 03-1130 Hearing Site: Boston. Massachusetts REPRESENTATION OF PARTIES Claimants Charles J. Mailman, Individually ("Mailman") and

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Robert E. Olson Names of the Respondents Southern Financial Group, Inc. Clelland David Collins, Jr. Richard McNair Wooten C. Dennis McKitrick Gerald Hunter Case Number: 02-00880 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Robert E. Olson ("Olson"), h

NASD DISPUTE RESOLUTION STIPULATED AWARD NASD DISPUTE RESOLUTION CASE: 06-02699 Jill Eileen Clark, (Claimant) vs. Wunderlich Securities, Inc., (Respondent) ATTORNEYS: Claimant appeared pro se, New York, NY. For Respondent appeared in-house counsel Tracey Wiswall, Memphis, TN. NATURE OF DISPUTE: Associated Person vs. Member DATE FILED: June 1, 2006 CASE SUMMARY: Claimant requested an Order expunging certain language from the Form U-5 and Registra

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 06-02648 Yu-Jih Liu, (Claimant) vs. E'Trade Securities LLC, (Respondent) ATTORNEYS: ~""~~ Claimant appeared pro se, Ledgewood, NJ. For Respondent appeared in-house counsel John Bersin, Esq., Rancho Cordova, CA. NATURE OF DISPUTE: Customer vs. Member DATE FILED; May 27, 2006 CASE SUMMARY: Claimant alleged that Respondent negligently handled her account by failing to notify her of warrant

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Equity National Capital, L.L.C., (Claimant) vs. Joseph Anthony Sanchez, (Respondent) Case Number: 01-02389 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Equity National Capital, L.L.C., hereinafter referred to as "Claimant": Gordon N. Gemma, Esq., Fox & Gemma, L.L.C., Colts Neck, NJ. Respondent, Joseph Anthony Sanchez, hereinafter referred to as "Respond

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 06-02110 Fred and Elena Yoshida, Trustees of the Yosnida Family Trust, (Claimants) vs. Edward D. Jones & Co., George Dustin Buck and Sherry Lynn Wilson-Ermeling, (Respondents) ATTORNEYS: Claimants appeared pro $e, Rancho Cordova, CA. For Respondents appeared David J. Simmons, Esq., of the firm Greensfelder, Hemker & Gale, P.C., St. Louis, MO. NATURE OF DISPUTE: Customers v. Member and A

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 06-01987 William R. Kisker, (Claimant) vs. Charles Schwab & Co., Inc., (Respondent) ATTORNEYS: ~~ For Claimant appeared Robert E,, Turtz, Esq., Edgewater, NJ. For Respondent appeared in-house counsel Brandon K, Hemley, Esq., San Francisco, CA. NATURE OF DISPUTE: Customer vs.. Member DATE FILED: April 18, 2006 CASE SUMMARY: Claimant alleged that Respondent failed to execute proper cafe a

Award NASD Dispute Resolution COPY In the Matter of the Arbitration Between: Harry C. Zaban Jr. IRA Rollover US Clearing Custodian and Harry C. Zaban & Jayne G. Zaban Family Trust DTD 10/22/90 Harry C. Zaban & Jayne G. Zaban TTEES, Claimants v. Mclaughlin, Piven, Vogel Securities, Inc., James C. Mclaughlin, Allan M. Vogel, Kevin Anders and Ira A. Cohen, Respondents Case Number: 06-01673 Hearing Site: San Francisco, California Nature of the Dispute

• NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 06-01399 First Montauk Securities Corp., (Claimant) vs. Carlos Garceran, (Respondent) ATTORNEYS: For Claimant appeared Michael S. Colombo, President/CEO of the firm Streetwide Asset Recovery Group, Inc., Lyndhurst, NJ. Respondent did not submit an Answer to the Statement of Claim. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: March 16, 2006 CASE SUMMARY: Claimant alleged

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 06-01135 Edward Giacomelli, (Claimant) vs. Merrill Lynch, Pierce, Fenner & Smith, Inc., (Respondent) ATTORNEYS: Claimant appeared pro se, Monroe Township, NJ. For Respondent appeared in-house counsel H. Kyeng Lee, Esq., New York, NY. NATURE OF DISPUTE: Customer vs. Member DATE FILED: March 1, 2006 CASE SUMMARY: Claimant alleged that Respondent misrepresented and omitted material fac