Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Francoise Arnal Names of the Respondents Morgan Stanley DW Inc., a New York corporation Caroline T. Mellema, an employee/agent of Morgan Stanley and authorized to conduct business in Florida Case Number: 03-01488 Hearing Site: Boca Raton. Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIE

Amended Award NASD Dispute Resolution In the Matter of the Arbitration Between: Jack Nelson, as trustee of the Jack Nelson IRA, Cathy Nelson, as trustee of the Cathy Nelson IRA, Cathy Nelson as trustee of the Jack Nelson 99 Charitable Remainder Trust, Jack Nelson and Cathy Nelson, as trustees of the Nelson Family Trust, Claimants v. Self Trading Securities, Inc., John B. Pearson, Eric P. Weschke, and John L. McArdle, Respondents Case Number: 02-05635 He

Stipulated Award NASD In the Matter of the Arbitration Between: Name of the Claimant Case Number: 01-02286 Raymond James & Associates, Inc. Name of the Respondent Hearing Site: Stephen E. Ridgely, Jr. Boca Raton, FL REPRESENTATION OF PARTIES For Raymond James & Associates, Inc., hereinafter referred to as "Claimant": Christopher G. Lazarini, Esq., Tate, Lazarini & Beall, PLC, Memphis, TN. For Stephen E. Ridgely, Jr., hereinafter referred to as "

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Vanessa Lee (Claimant) v. Vanguard Capital, Inc. and Dimitri Gaspard (Respondents) Case Number: 05-05121 Hearing Site: New York, New York Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES Claimant Vanessa Lee hereinafter referred to as "Claimant": John E. Lawlor, Esq., Attorney at Law, Mineloa, NY. Respondent Vanguard Capital, Inc. hereina

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants Case Number: 05-03203 Jerry W. and Frances B. Sather Name of the Respondent Hearing g'rte: Dallas, Texas Michael Vincent Valle NATURE OF THE DISPUTE Public Customer vs. Associated Person REPRESENTATION OF PARTIES Claimants Jerry W. and Frances B. Sather, hereinafter collectively referred to as "Claimants": Frances W. Sather of Clifton, Texas. Re

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Paul C. Spoelstra and Respondents Daniel J. Healy and Paula Kay Clum Case Number: 05-02931 Hearing Site: Southfield, Michigan NATURE OF DISPUTE Associated Person v. Associated Persons REPRESENTATION OF PARTIES Paul C. Spoelstra ("Claimant") was represented by Anthony Paduano, Esq., and Willard Knox, Esq., Paduano & Weintraub LLP, New York, New Yor

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Harry Berger and 05-02190 Chicago, Illinois Name of Respondents Wachovia Securities, LLC Ronald W. Fox Stephen Heckmeyer Neil R. Cooper and Douglas L. Meyer Nature of the Dispute: Customer vs. Member and Associated Persons. REPRESENTATION OF PARTIES Harry Berger ("Claimant") was represented by Sandor L. Grossman, Esq., Chicago, Illinois an

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Ugo Piccagli and Caterina Piccagli_ Case Number: 05-00258 Claimants v. Clair Crossland and VeraVest Investments, Inc. Hearing Site: Dallas, Texas Respondents Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Ugo Piccagli and Caterina Piccagli, hereinafter collectively referred to as "Claimants": Martha Cranda

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Case Number: 05-00147 Alejandro Rivera Names of Respondents Hearing Site: Boca Raton, Florida Credit Suisse First Boston Corporation Alain O'Hayon Santiago Santos Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Alejandro Rivera, hereinafter referred to as "Claimant": Scott M. Zucker, Esq., Law

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Carol C. Goldberg and 06-01518 Chicago, Illinois Name of Respondents RBC Dain Rauscher Inc. Robert Gordon Levine Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Carol C. Goldberg ("Claimant") was represented by Robert C. Goldberg, Esq., Schoenberg, Fisher, Newman & Rosenberg, Ltd., Chicago, Illinois.