Award NASD Dispute Resolution In the Matter of the Arbitration Between: Dennis Poldnev, Claimant v. Tower Square Securities, Inc., Respondent Case Number: 05-02698 Hearing Site: Los Angeles, California Nature of the Dispute: Associated Person v. Member REPRESENTATION OF PARTIES For Claimant: Ugo O. Asobie, Esq. Law Offices of Ugo O. Asobie Los Angeles, California For Respondent: Gail E. Cohen, Esq. Barger&WolenLLP Los Angeles, California

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Evan Cole (Claimant) vs. UBS Financial Services, Inc. (Respondent) Case Number: 05-02695 Hearing Site: Newark, New Jersey Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES i —~ m -" 1 * Claimant Evan Cole hereinafter referred to as "Claimant": David M. Fish, Esq., New York, NY. Respondent UBS Financial Services, Inc. hereinaft

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Jerre Lawson, Ute Lawson, and Jerre and Ute Lawson as Trustees of the Lawson Family Trust, Claimants v. Raymond James Financial Services, Inc. and Michael N. Fleury, Respondents Case Number: 05-02671 Hearing Site: Seattle, Washington Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES For Claimants Jerre Lawson, Ute Lawson, and Jerre and Ute

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-02659 Anna S. Florenzano, IRA, (Claimant) vs. Citizens Financial Services, Inc., (Respondent) ATTORNEYS: For Claimant appeared Paul N. Young, CEO/NAR, of the firm Securities Arbitration Group, Inc., Los Angeles, CA. For Respondent appeared Megan C. Deluhery, Esq., of the firm Bingham McCutchen, LLP, Boston, MA. NATURE OF DISPUTE: Customer vs. Member DATE FILED: May 17, 2005 CASE

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Lee Hartzmark Names of the Respondents Gee Gee Morgan and Stephanie A. Tarver, tenants by the entireties Gee Gee Morgan IRA Virginia Meade, Trustee for the Virginia Meade Trust Dated 12/19/95 Virginia Meade IRA Case Number: 05-02657 Hearing Site: Boca Raton, Florida Nature of the Dispute: Associated Person vs. Customer. REP

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 05-02656 William B. Hall Names of the Respondents Hearing Site: Atlanta, Georgia Wachovia Securities, LLC Timothy Vanderver Nature of the Dispute: Customer vs. Member and'Associated Person. REPRESENTATION OF PARTIES For William B. Hall, hereinafter referred to as "Claimant": David F. Rock, Esq., McGee & Oxford, LLP, Atlanta, Georgia.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Louis Theodore IRA (Claimant) v. TD Waterhouse Investor Services, Inc. (Respondent) Case Number: 05-02640 Hearirig Site: New York, New York Nature of the Dispute: Customer v. Member REPRESENTATION OF PARTIES Claimant Louis Theodore IRA hereinafter referred to as '"Claimant" appearedpro-se. Respondent TD Waterhouse Investor Services, Inc. hereinafter referred to as "Respondent":

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-02636 William Mitchell and Brigette R. Mitchell, (Claimants) vs. First Command Financial Planning, Inc., (Respondent) ATTORNEYS: Claimants appeared pro se, Witchita Falls, TX. For Respondent appeared Ethan H. Cohen, Esq., of the firm Schiff Hardin LLP, Atlanta, GA. NATURE OF DISPUTE: Customers vs. Member DATE FILED: May 17, 2005 CASE SUMMARY: Claimants alleged that Respondent made er

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Wells Fargo Securities, Inc., a subsidiary of Wells Fargo Bank, N.A., Claimant v. Sutro & Co., Inc. and Paul I. Laughton, Respondents Case Number: 01-00549 Hearing Site: San Francisco, California REPRESENTATION OF PARTIES For Claimant: Steven H. Winick, Esq. Sheppard, Mullin, Richter & Hampton LLP San Francisco, California For Respondents: Stephen M. Williams, Esq.

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Gwendolyn Jeter and Virginia Whiteside Names of the Respondents Royal Alliance Associates, Inc., John Owens Investment Management, Inc. and John Owens, individually Case Number: 05-02621 Hearine Site: Birmingham, Alabama Nature of the Dispute: Customer vs. Meniber, Non-Member and Associated Person. I , REPRESENTATION OF PARTI