AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Joseph J. Mysliwiec and Respondent American Express Financial Advisors, Inc. n/k/a Ameriprise Financial Services, Inc. Case Number: 05-04416 Hearing Site: Southfield, Michigan Customer v. Member NATURE OF DISPUTE REPRESENTATION OF PARTIES Joseph J. Mysliwiec ("Claimant") was represented by Eric S. Richards, Esq., and Brian M. Andrew, Esq., Mika, M

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-04393 Hennion & Walsh, Inc., (Claimant/Counterclaim Respondent) vs. Joseph W. Paulter, (Respondent/Counterclaim Claimant) ATTORNEYS: For Claimant/Counterclaim Respondent appeared Daniel J. Reiser, Esq., of the firm Bressler, Amery & Ross, P.C., Morristown, NJ. For Respondent/Counterclaim Claimant appeared John A. Canter, Esq., of the firm Spinato, November, Conte & LaRocca, P.C., Glen Ro

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Philadelphia Financial of San Francisco, LLC, Claimant v. Bear Stearns & Co. Inc. and Alessandro P. Garbuio, Respondents Case Number: 05-04372 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: David Marek, Esq. Liddle & Robinson, L.L.P. New York, New York For Respondent

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Fifth Third Securities, Inc. and Fifth Third Bancorp, Case Number: 05-04369 Claimants, v. Hearing Site: Indianapolis, Indiana Bradley K. Maikranz and Summit Financial Solutions, LLC Respondents. Nature of the Dispute: Member v. Associated Person REPRESENTATION OF PARTIES Fifth Third Securities, Inc. ( ( Tifth Third") and Fifth Third Bancorp. ("Fifth Bancorp"), he

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-04361 Homer Ham, (Claimant) vs. Edward D. Jones & Co., (Respondent) ATTORNEYS: For Claimant appeared Chris Claassen, Esq., of the firm Burg Simpson Eldredge Hersh & Jardine PC, Dallas, TX. For Respondent appeared Sandra B. Gallini, Esq., of the firm Greensfelder, Hemker & Gale, PC, St. Louis, MO. NATURE OF DISPUTE: Customer vs. Member DATE FILED: August 18, 2006 CASE SUMMARY: Cla

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: The Wilt Trust DTD 01/05/90, (Claimant) vs. Mason Hill & Co., Inc. and Adam H. Kaplan, (Respondents) Case Number: 01-00604 Hearing Site: Albany, New York REPRESENTATION OF PARTIES Claimant, The Wilt Trust DTD 01/05/90, hereinafter referred to as "Claimant": Bernard M. Wilt and Lydia E. Wilt, Trustees, The Wilt Trust DTD 01/05/90, Glenmont, NY. Respondent, Mason Hill & Co.,

Award NASD Dispute Resolution Copy In the Matter of the Arbitration Between: Robert W. Allen, Claimant v. Morgan Stanley DW Inc. (f/k/a Morgan Stanley Dean Witter), Respondent Case Number: 05-04352 Hearing Site: Boise, Idaho Nature of the Dispute: Customer v. Member REPRESENTATION OF PARTIES For Claimant: Debra Brewer Hayes, Esq. Woska & Hayes, LLP Kingwood, Texas For Respondent: Debra R. Volland, Esq. Morgan Stanley DW Inc. San

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION ' I i CASE: 05-04322 Shirley Teeter, Michele Stiny and C. Peter Stiny, (Claimants) vs. Citigroup Global Markets, Inc. and Jack B. Grubman, (Respondents) ATTORNEYS: ~ For Claimants appeared Robert R. Riley, Jr., Esq., of the firm Riley & Jackson, P.C., Birmingham, AL. For Respondents appeared Mark L. Parmelee, Esq., of the firm Greenberg Traurig P.A., New York, NY. NATURE OF DISPUTE: Custo

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Dolores H. Messina (Claimant) v. Gilbert M. Anderson, New Horizons Asset Management Group, LLC., Steven R. Gleason, and Thomas E. Hughes (Respondents) Case Number: 05-04308 Hearing Site: New York, New York Nature of the Dispute: Customer v. Member and Associated Persons REPRESENTATTON OF PARTIES Claimant Dolores H. Messina hereinafter referred to as "Claimant" appearedpro-se, at

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-04299 Donald R, Carse, (Claimant) vs. UBS Financial Services Inc., (Respondent) ATTORNEYS: Claimant appeared pro se, London, England. For Respondent appeared in-house counsel, Erin M. Naftali, Esq., Weehawken, NJ. NATURE OF DISPUTE: Customer vs. Member ~~~ DATE FILED: August 10, 2005 CASE SUMMARY: Claimant alleged that Respondent failed to execute an order to transfer investments. Cl