NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 06-01608 Michael C. Leath, David E. Leath, Janine Glassman, and Betty E. Sauber, (Claimants) vs. Edward D. Jones & Co. and Ron Launder, (Respondents) ATTORNEYS; ~ ~ ~~ Claimants appeared pro se through Michael C. Leath, Longview, TX. For Respondents in-house counsel Trae D, Meyr, Esq., St. Louis, MO. NATURE OF DISPUTE: Customers v. Member and Associated Person DATE FILED: March 27, 2006

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of thfi Claimant Walter O. Race nf the Respondent Edward D. Jones & Co. Case Number: 05-03910 Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant, Walter O. Race, hereinafter referred to as "Claimant", was represented by Christopher B. Jones, Esq., Law Offices of Christopher B. Jones, Scranton,

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Joseph L. Aversano, Michael Bassett, Johanna E. Caleca, Robert D. Caruso, Harold and Lillian Elsis, Joseph Fennelly, Trustee, Joseph Fennelly, Trustee, Joseph Fennelly, IRA, Vincent Horcasitis, Nancy Keane, Brian Lester, Jacqueline Minetree, Lee Minetree, Lee Minetree, SEP IRA, Maryiynn Novak, Marylynn Novak, Trustee, Marylynn Novak, Special Account, Marylynn Novak Money Purc

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 06-00969 Douglas Fleming, (Claimant) vs. Pointe Capital, LLC, (Respondent) ATTORNEYS: Claimant appeared pro se, Lenoir City, TN. For Respondent appeared in-house counsel, Daniel R. Levene, Boca Raton, FL. NATURE OF DISPUTE: Customer vs. Member DATE FILED: February 24, 2006 CASE SUMMARY: Claimant alleged that Respondent failed to supervise and misrepresented material facts regarding inve

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Case Number: 05-06544 Inversiones Interven, Ltd. Name of Respondent Hearing Site: Boca Raton, Florida National Financial Services, LLC Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Inversiones Interven, Ltd., hereinafter referred to as "Claimant": Howard R. Behar, Esq., Howard R. Behar, P.A., Aventura, Florida. For National Fi

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants David E. and Billie Thomasson and Names of Respondents Merrill Lynch Pierce Fenner & Smith, Inc. and John Schubert Kloss, Jr. Case Number: 05-02524 Hearing Site: Houston, Texas NATURE OF DISPUTE Customers v. Member Firm and Associated Person REPRESENTATION OF PARTIES David E. and Billie Thomasson ("Claimants") were represented by Hector G. L

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Case Number: 05-01725 FBO Regis A, Garcia FBO Gerri D. Garcia Regis A. Garcia and Gerri D. Garcia JTWROS Yolanda E. Garcia, Regis A. Garcia and Edward Garcia JTWROS Name of Respondent Hearing Site: Orlando, Florida Merrill Lynch Pierce Fenner & Smith, Incorporated Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For

Award NASD Dispute Resolution In the Matter of the Arbitration Between: The Estate of Roger Seddon, Case Number: 04-07044 Deborah J. Martinez, Carol L. Martinez and Margaret J. Seddon, Hearing Site: Albuquerque, New Mexico as Co-Personal Representatives, Claimants, v, Wachovia Securities, LLC, Charles M. Ovis and Mark W. Atkins, Respondents. Nature of the Dispute: Customers vs. Member and Associated Persons REPRESENTATION OF PARTIES

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants Bruce J. Coan, Bruce J. Coan Profit Sharing Plan, M. Joanne Dodd, M. Joanne Dodd Living Trust, M. Joanne Dodd IRA, Alice Lahren and Alice Lahren IRA v. 04-06590 Denver, Colorado Respondents UBS Financial Services, Inc., Nicholas R. Cladis and Patrick P. Davison NATURE OF DISPUTE Customers v. Member and Associated Persons REPRESENTATION

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Joyce E. Veit and 01-02316 Minneapolis, Minnesota Name of Respondents SunAmerica Securities, Inc. Joseph Sterling, individually and d/b/a Sterling Financial REPRESENTATION OF PARTIES Joyce E. Veit ("Claimant") was represented by Matthew T. Boos, Esq., Fredrikson & Byron, P.A., Minneapolis, Minnesota. SunAmerica Securities, Inc. ("Respond