NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 06-00875 Tony and Rosetta N. Reed, (Claimants) vs. Ameritrade, Inc., (Respondent) ATTORNEYS: Claimants appeared pro se, BakersfieM, CA. For Respondent appeared in-house counsel James J. Vihstadt, Esq., Omaha, NE. NATURE OF DISPUTE: Customers vs. Member DATE FILED: February 20,2006 CASE SUMMARY: Claimants alleged that Respondent placed them in investments that were unsuitable for the

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 06-00164 Kim and Elizabeth Garbuz, (Claimants) vs. Invest Financial Corporation, (Respondent) ATTORNEYS: For Claimants appeared Theodore M. Davis, Esq., Brooklyn, NY. For Respondent appeared Barry R. Temkin, Esq., of the firm Fiedelman Garfinkel & Lesman, New York, NY. NATURE OF DISPUTE: Customers vs. Member DATE FILED: January 10, 2006 CASE SUMMARY: Claimants alleged that Responden

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Donald W. O'Brien (Claimant) vs. Purshe Kaplan Sterling Investments, Scott Thomas Valente, Peter John Sheehan, and Peter Purcell (Respondents) Case Number: 05-01834 Hearing Site: Albany, New York Nature of the Dispute: Customer vs. Member and Associated Persons REPRESENTATION OF PARTIES Claimant Donald W. O'Brien hereinafter referred to as "Claimant": Timothy J. O'Connor, Esq.,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Stonehill Realty Pension Trust, Scott Coopchick, Trustee (Claimant) v. DB Alex Brown, LLC and Richard W. DeBoe (Respondent) Case Number: 01-02347 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Stonehill Realty Pension Trust, Scott Coopchick, Trustee ("Stonehill") hereinafter referred to as "Cl

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 05-05008 Brian Michael Megibow Names of the Respondents Hearing Site: Tampa, Florida Amsouth Investment Services, Inc. Carol Vincent Cook Nature of the Dispute: Associated Person vs. Member and Associated Person. REPRESENTATION OF PARTIES For Brian Michael Megibow, hereinafter referred to as "Claimant": Stuart Reed, Esq., Legal & Complia

AWARD NASD DISPUTE RESOLUTION In the Matter of the Arbitration Between: Lawrence Bilker, Claimant vs. LH Ross & Company, Inc., Robert J. Vitale, Jeffrey S. Weick and Dean R. Baker, Respondents Case Number: 05-04854 SITUS: Philadelphia, Pennsylvania NATURE OF DISPUTE: Customer v. Member and Associated Persons REPRESENTATION OF PARTIES: Lawrence Bilker, hereinafter referred to as "Claimant", was represented by G. Lynne Thorpe, Esq., Law Offices of

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Case Number 05-02267 Arthur H. Weyrauch MaryT. Weyrauch Mary T. Weyrauch TTEE, U/A DTD 12/16/2000 by Arthur H. Weyrauch FIT Arthur H. Weyrauch TTEE U/A DTD 12/18/2000 by Mary T. Weyrauch FIT Name of Respondent Hearing Site: Tampa, Florida Merrill Lynch, Pierce, Fenner & Smith, Inc, Nature of the Dispute: Customer vs. Member. REPRESENTATION OF P

Award NASD Dispute Resolution In the Matter of the Arbitration Between: James Cappadona and Karen Cappadona (Claimants) vs. Citigroup Global Markets, Inc. (Respondent) Case Number: 04-08552 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Member REPRESENTATION OF PARTIES Claimants James Cappadona ("J. Cappadona") and Karen Cappadona ("K. Cappadona") hereinafter collectively referred to as "Claimants": Edward F. Westfield, Es

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: DOUGLAS W. BOUSLEY, PAULA BOUSLEY, andTRACEY BOUSLEY, Claimants, -vs- ALLEN M. GREEN and MEDALLION EQUITIES, INC., Respondents. Case Number: 01-02344 Hearing Site: Detroit, Michigan REPRESENTATION OF PARTIES Claimants: Daniel J. Cramer, 339 East Liberty Street, Suite 200, Ann Arbor, MI 48104 Respondents: Matthew W. Schlegel, 25800 Northwestern Hw

Award NASD Dispute Resolution In the Matter of the Arbitration Between; Name nf the riaiTnantg Hasp Nnmhpr- 02-06802 Commonwealth Holdings, Inc. Profit Sharing Plan & Trust, James T. Waddill, IV, Jocelyn Investors, Jeffrey Jorgensen, Kenneth Jorgensen, Eric Jorgensen, Lloyd Bernstein, Howard Borenstein, Clifford Schaefer, Mel Stewart, Angelo Armenta, Lucille Weber, individually and ffb/o Lucille Weber, IRA, Rosario Bartolotta, individually and f