AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Douglas H. Stark and Case Number: 05-02631 Hearing Site: Troy, Michigan Respondents Basic Investors, Inc., American Capital Partners LLC, Michael W. Stephani, and MathewJ. Ferber, Sr. NATURE OF DISPUTE Customer v. Members and Associated Persons REPRESENTATION OF PARTIES Douglas H. Stark ("Claimant") was represented by Anthony V. Trogan, Jr., Esq., Ant

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Matthew J. Trachtenberg (Claimant) v. Bear Stearns & Co., Inc. (Respondent) Case Number: 04-08460 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Matthew J. Trachtenberg hereinafter referred to as "Claimant": David E. Robbins, Esq., Kaufmann, Feinew, Yamin, Gildin & Robbins, LLP, New York, NY. Claimant was previousl

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants Case Number: 04-08727 Nicholas P. Rossi, M.D., Nicholas P. Rossi, IRA and Helen K. Rossi Name of the Respondents Alan Robert Leff and Heartland Investment Associates, Inc. NATURE OF THE DISPUTE Public Customer vs. Member Firm and Associated Person REPRESENTATION OF PARTIES Claimants Nicholas P. Rossi, M.D. ("N. Rossi"), Nicholas P. Rossi, IR

$ASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-05840 Aurvil G. and Norma F. Gladden, (Claimants) vs. Edward D. Jones & Co., (Respondent) ATTORNEYS: For Claimant appeared Chris Claassen, Esq., of the firm Burg Simpson Eldredge Hersh Jardine PC, Dallas, IX. For Respondent appeared Sandra B. Gallini, Esq.. of the firm Greensfelder, Hemker& Gate, P.O., St. Louis, MO. NATURE OF DISPUTE: Customers vs. Member DATE FILED: November 15,200

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Lori Alexander, as the Administratix of the Estate of J. Larry Alexander, and James H. Alexander, Jr., as General Partner of the JAS Alexander Family Limited Partnership and Name of Respondent A.G. Edwards & Sons, Inc. Case Number. 04-08409 Hearing Site: Houston, Texas NATURE OF DISPUTE Customers v. Member Firm REPRESENTATION OF PARTIES

NASD DISPUTE RESOLUTION STIPULATED AWARD NASD DISPUTE RESOLUTION CASE: 06-00440 Gerald Bradley Goodchild, II, (Claimant) vs. Norma E. Brahams, (Respondent) ATTORNEYS: For Claimant appeared Debra A. Jenks, Esq. of the firm Dobin & Jenks LLP, Jupiter, FL. Respondent appeared pro se, Boynton Beach, FL. NATURE OF DISPUTE: Associated Person vs. Customer DATE FILED: January 26, 2006 CASE SUMMARY: Claimant requested expungement of all reference of NASD

Award NASD Dispute Resolution in the Matter of the Arbitration Between: Joseph R. Valeriano and Kathleen Valeriano (Claimants) vs, Citigroup Global Markets, Inc. and David Scharf (Respondents) Case Number: 05-03302 Hearing Site: Albany, New York Nature of the Dispute: Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Claimants Joseph R. Valeriano ("J. Valeriano) and Kathleen Valeriano ("K. Valeriano") hereinafter collectively refe

Stipulated Award NASD Dispute Resolution !n the Matter of the Arbitration Between: Anthony Fioretti and Karen Fioretti (Claimants) vs. J.B. Hanauer & Co., Barry Hugh Zucker, Jeff Wolfe, and Anthony D'Amato (Respondents) Case Number: 01-06940 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Persons REPRESENTATION OF PARTIES Claimants Anthony Fioretti ("A. Fioretti") and Karen Fioretti ("K. Fioretti") hereinafter

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 01-02333 Daniel Leon Bruton and Viola Bruton JTWROS, claimants vs. Sage Rutty and Company, Inc., respondent. ATTORNEYS: Claimants appeared pro se through Daniel Leon Bruton, Coal Township, PA. For Respondent appeared Renee Rombaut, Rochester, NY. DATE FILED: May 4, 2001 CASE SUMMARY: Claimants alleged that respondent misrepresented and omitted information regarding their account. Claima

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 05-01803 Elizabeth Ramirez Cartwright Names of the Respondents Hearing Location: Memphis, Tennessee Morgan Keegan & Company, Inc. Neil Prosser Maryanne Post Nature of the Dispute: Associated Person vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant Elizabeth Ramirez Cartwright, hereinafter referred to as "Claimant", wa