NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE; 06-01472 Fidelity Brokerage Services, LLC. (Claimant) vs, Anthony Pena, (Respondent) ATTORNEYS: For Claimant appeared Laurence K. Richmond, Esq., of the firm Laurence K. Richmond & Associates, P.C., Qutncy, MA. Respondent did not submit an Answer to the Statement of Claim. NATURE OF DISPUTE: Member v. Customer DATE FILED: March 20, 2006 CASE SUMMARY: Claimant alleged that Respondent fel

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Robert F. Phair (Claimant) vs. Salomon Smith Barney and Timothy V. Mulhern (Respondents) Case Number 03-08633 Consolidated with Susan T, Kalish (Claimant) vs. Salomon Smith Barney and Timothy V. Mulhem (Respondents) Case Number 04-00458 Hearing Site: New York, New York Nature of the Dispute: Case # 03-08633: Customer vs. Member and Associated Person Nature of the

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Kame of Claimants Chris Laden as Trustee of the VIP Plus Profit Sharing Plan vs. Name of Respondents Morgan Stanley Dean Witter Inc. and Philipp B. Weisskopf 03r00633 Chicago, Illinois Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES j Chris Laden as Trustee of the VIP Plus Profit Sharing Plan ("Claimant**)

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Aurum Capital Partners, L.P. (Claimant) v. Goldman, Sachs & Co., and Sofia Frankel (Respondents) Case Number: 02-06866 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant Aurum Capital Partners, L.P. hereinafter referred to as "Claimant": Dan Brecher, Esq., Law Offices of Dan Brecher, New

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Nancy Morelock, Claimant v. Delon Bradley and Wachovia Securities Inc. n/k/a Wachovia Securities, LLC, Respondents Case Number: 04-08139 Hearing Site: Las Vegas, Nevada Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Nancy Morelock ProSe Henderson, Nevada For Respondent Wachovia Securities, Inc. n/k/a Wachovia S

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE:01-02248 Charles Schwab & Co., Inc., claimant vs. Patricia E. Partlow and John Solena, respondents. ATTORNEYS: For Claimant appeared Edmund V. Saucedo, Case Manager, San Francisco, CA. Respondents did not submit a response to the Statement of Claim. DATE FILED: May 1, 2001 CASE SUMMARY: Claimant alleged that monies deposited into respondents' accounts were returned unpaid by their bank

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Melvyn Douglas Gautier Ben Burpo, Jr. Manuel R. Hodge Cornell Wilson Warren G. Fountain Names of the Respondents American General Securities, Inc. Hartford Equity Sales Company Case Number: 03-04369 Hearing Site: New Orleans, Louisiana Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Claimants Melvyn Dou

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Jae Kennedy-Pearson, Colleen Cremerius and Florence Miller, Claimants v. A.G. Edwards & Sons, Inc. and Theodorus Burger, Respondents Case Number: 03-00025 Hearing Site: San Francisco, California Nature of the Dispute: Customers vs. Member and Associated Person REPRESENTATION OF PARTIES For Claimants: John S. Perkins, Esq. Law Offices of John S. Perkins San Jose, California

N.A.S.D. AWARD NATICNAL ASSOCIATION OF SECURITIES DEAI£RS In the tetter of the Arbitration Betvreen" Name of f 1 aimantes] Eva Strine r individually and as co-trustee with Joseph Penza of the Helen Strine Quinn Trust. ) Case No: 89-01455 Name s \ Shearson Lehman Hut ton, Inc. C. Lynn Abel Heard before the members of the Arbitration Panel: Casey W. Mills, Esq. Public Judy Avey Public Richard M. Kowalske Industry Cl

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Duncan Fortier and Jascan Investments, Inc., Claimants v. Morgan Stanley DW Inc., Antony Gordon, William T. Lappas and Margaret Black, Respondents Case Number: 04-00355 Hearing Site: San Francisco, California Nature of the Dispute: Customers vs. Member and Associated Persons REPRESENTATION OF PARTIES For Claimants: Timothy A. Canning, Esq. Richard Sacks Novato, California