Award NASD Dispute Resolution In the Matter of the Arbitration Between: Rogelio Sanchez and Graciela Sanchez, Claimants v. Walnut Street Securities, Inc. and Reginald E. Fennell, Respondents Case Number: 05-02619 Hearing Site: Los Angeles, California Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES For Claimants Rogelio Sanchez and Graciela Sanchez: H. Thomas Fehn, Esq. Fields, Fehn & Sherwin Los Angeles

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimants Robert H. Gengler, IRA and Margaret M. Gengler Dec of Trust and 05-02610 Chicago, Illinois Name of Respondent UBS Financial Services Inc. f/k/a UBS PaineWebber, Inc. Nature of the Dispute: Customers vs. Member. REPRESENTATION OF PARTIES Robert H. Gengler, IRA and Margaret M. Gengler Dec of Trust ("Claimants") were represented by Charles Hunter, Esq.,

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-02604 Debbie Hillis, (Claimant) vs. Edward Jones & Co. and Vem Dale Holifield, (Respondents) ATTORNEYS: Claimant appeared pro se, Fort Worth, TX. For Respondents appeared in-house counsel Kimberly L. Monroe, St. Louis, MO. NATURE OF DISPUTE: Customer v. Member and Associated Person DATE FILED: May 17, 2005 CASE SUMMARY: Claimant alleged that Respondents breached a contract, failed to exe

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number 05-02575 Sherre M. Burbage, as custodian for the accounts of Dennis and Christopher Burbage Names of the Respondents Hearing Site- Columbia, South Carolina Edward Jones Michael Ray Grubb Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIFS Claimant Sherre M. Burbage, as custodian for the accounts

Award NASD .Dispute Resolution In the Matter of the Arbitration Between: Ottilia Dee Baldwin, Trustee of the Ottilia Dee Baldwin Revocable Trust, Claimant, v. . • Wachovia Securities, LLC and Dennis Bielfeldt Respondents. Case Number: 05-02573 Hearing Site: Indianapolis, Indiana Wachovia Securities, LLC and Dennis C. Bielfeldt, Third-Party Claimants, Ottilia Dee Baldwin and Joanna Sunderland, Co-Trustees of the Ottilia De

Award NASD Dispute Resolution In the Matter of the Arbitration Between: George Eischen and Joseph Fricke Co-Trustees of the Gresham Sports Care, Inc. Profit Sharing 401 (k) Plan, Claimant v. Smith Barney n/k/a Citigroup Global Markets, Inc.,, Respondent Case Number: 05-02567 Hearing Site: Portland, Oregon Nature of the Dispute: Customers v. Member REPRESENTATION OF PARTIES For Claimant: Diane E. Godwin, Esq. Law Offices of Diana E. Godwin Portla

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Lynda M. Johnson and Name of Respondent Prudential Equity Group, LLC f/k/a Prudential Securities Incorporated Case Number: 05-02563 Hearing Site: Houston, Texas NATURE OF DISPUTE Customer v. Member REPRESENTATION OF PARTIES Lynda M. Johnson ("Claimant") was represented by David K. Bissinger, Esq., Wilson Fulkerson LLP, Houston, Texas. • ,

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Earl Weingarden Revocable Living Trust U/A DTD 2-25-77 Earl Weingarden Trustee Names of the Respondents H&R Block Financial Advisors, Inc. f/k/a Olde Discount Corporation Michael Karris Case Number: 05-02553 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PAR

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-02546 Sentra Securities Corporation, (Claimant) vs. Scott M. Praizner, (Respondent) ATTORNEYS: ~~~ ~ ~ " " ~~ For Claimant appeared in-house counsel, David Fogel, Esq., Phoenix, AZ. Respondent did not submit an Answer to the Statement of Claim. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: May 13, 2005 CASE SUMMARY: Claimant alleged that Respondent breached an employment con

4 1 Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Names of Claimants Wayne R. and Judy F. Measor, JTWROS Case No. 01-00547 Names of Respondents John R. Exley, III J.P. Turner & Company, Inc. Hearing Site: Tampa, Florida REPRESENTATION OF PARTIES Wayne R. and Judy F. Measor, JTWROS, hereinafter collectively referred to as "Claimants", appeared pro se. For John R. Exley, III ("Exley") and J.P. Turner