STIPULATED AWARD NASD Dispute Resolution tn the Matter of the Arbitration Between Name of Claimant Howe Barnes Investments, Inc. and 05-02602 Chicago, Illinois Name of Respondent Barry M. Hanses Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Howe Barnes Investments, Inc. ("Claimant") was represented by David T.B. Audley, Esq. and James P. Sullivan, Esq., Chapman & Cutler, LLP, Chicago, Illinois. Barry

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Kenneth C. Stephan (Claimant) v. Morgan Stanley DW Inc., Thomas Biadas, and John Damiano (Respondents) Case Number: 05-03667 Hearing Site: Cleveland, Ohio Nature of the Dispute: Customer vs. Member and Associated Persons REPRESENTATION OF PARTIES Claimant Kenneth C. Stephan hereinafter referred to as "Claimant": Rebecca J. Castell, Esq. and Jack Landskroner, Esq., Lan

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-03249 Beverly A. Weigand Name of the Respondent Hearing Site: New Orleans, Louisiana Securities America, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Beverly A. Weigand, hereinafter referred to as "Claimant": L. Jerome Stanley, Esq., L. Jerome Stanley, P.C., Baton Rouge, Louisiana. For Securities Amer

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Chi Kwang Chiang and Julie T.S. Huang, Claimants v. Morgan Stanley DW Inc., Howard H. Ye, Lin Hsieh, and Lily Li, Respondents Case Number: 04-07414 Hearing Site: Los Angeles, California Nature of the Dispute: Customers v. Member and Associated Persons REPRESENTATION OF PARTIES For Claimants: James A. Shalvoy, Esq. Law Offices of James A. Shalvoy Manhattan Beach, C

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Alexander Filimonov and Laura Filimonov, individually and on behalf of the Business Exchange International, Inc., Claimants v. Bane of America Investment Services, Inc., Respondent Case Number: 05-06232 Hearing Site: San Francisco, California Nature of the Dispute: Customers v. Member REPRESENTATION OF PARTIES For Claimants: . Kirk George Smith, Esq. Shepherd, Smith & Edward

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Roger L Hall Name of the Respondent Prudential Securities, Inc. n/k/a Prudential Equity Group, LLC Case Number. 05-01632 Hearing Site: Charleston, West Virginia Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant, Roger L. Hall, hereinafter referred to as "Claimant", was represented by Christopher L. Messina, Esq., S

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Steven Rubel (Claimant) v. KSH Investment Group, Inc., Bear Stearns Securities Corp., Harvey R. Kohn, Gary W. Sucoff and John C. Hatsopoulos (Respondents) Case Number: 05-01007 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Members and Associated Persons. REPRESENTATION OF PARTIES Claimant Steven Rubel hereinafter referred to as "Claimant": Charles G. Fiore, Es

Award NASD Dispute Resolution In the Matter of the Arbitration Between: World Trading Corp. (Claimant) vs. Citicorp Investment Services (Respondent) Case Number: 04-04328 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant World Trading Corp. hereinafter referred to as "Claimant": Joseph F. Keenan, Esq., McCanliss & Early, LLP., New York, NY. Respondent Citicorp Investment Services hereinaft

AWARD NASD DISPUTE RESOLUTION In the Matter of the Arbitration Between: Intervest International Equities Corp., Claimant vs. G. Glenn Cobb, Respondent Case Number: 05-05531 SITUS: Columbia, South Carolina NATURE OF DISPUTE: Member v. Associated Person REPRESENTATION OF PARTIES: Intervest International Equities Corp., hereinafter referred to as "Claimant", was represented by J. Brett Stuart, Esq., Intervest International Equities Corp., Colorado

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Paul and Margita Dzatko Trustees of the Paul and Margita Dzatko Revocable Trust Claimant, v. Prudential Equity Group, LLC and John D. Buck, Respondents, Case Number: 05-01295 Hearing Site: St. Louis, Missouri Nature of the Dispute: Claimants v. Member and Associated Person REPRESENTATION OF PARTIES Paul and Margita Dzatko, Trustees of the Paul and Margita Dza