Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the (Claimants C!ase Number- 04-02004 Stanley and Dorothy Redmond Names nf tbg Respnnftents Rearing Site! Philadelphia, PA Prudential Equity Group, Inc. William D. Jenkins Nature of the Dispute: Customers vs. Member and Associated Person RF.PRFSFNTATTON OF PAttTITCS Claimants, Stanley and Dorothy Redmond, hereinafter collectively referred to as "Claimants", were

NASD Arbitration No. 04-002003 Page 1 , . ' , Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: x CARILLON INVESTMENTS, INC: and THE UNION CENTRAL LIFE INSURANCE CO., CASE NO. 04-2003 CLAIMANTS, . ' Hearing Site: Dallas, TX —against— SCOTT GIDLEY, RESPONDENT. Nature of the Dispute: Member and Non-Member with Contract to Arbitrate vs. Associated Person. " . ' ' ' - ' '

Award NASD Dispute Resolution In the Matter of the Arbitration Between: William J. Spina (Claimant) v. C.L. King & Associates, Inc. (Respondent) Case Number: 04-01998 Hearing Site: Boston, Massachusetts Nature of the Dispute: Associated Person vs. Member. i REPRESENTATION OF PARTIES Claimant William J. Spina ("Spina") hereinafter referred to as "Claimant" appeared pro se. Previously represented by: Pamela E. Berman, Esq., Adler Pollock & Sheehan, P.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Hedgefund Solutions, a division of APB Financial Group, Inc. (Claimant) v. Todd Gold (Respondent) Case Number: 04-01997 Hearing Site: New York, New York Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Hedgefund Solutions, a division of APB Financial Group, Inc. hereinafter referred to as "Claimant": Mitchell Taras, Esq., and Douglas R. Hir

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-01995 William J. Holland IRA, Claimant v. E*Trade Securities, LLC and Richard Dean Edde, II, Respondents. ATTORNEYS: Claimant, William J. Holland IRA, ("Claimant"), appeared pro se, Dallas, TX. Respondents, E*Trade Securities, LLC and Richard Dean Edde II, ("Respondents"), appeared through their in-house counsel, John Bersin, Rancho Cordova, CA. NATURE OF DISPUTE: Customer v. Member and

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant John P. Biscanin, Co-Administrator of the Estate of Dolores W. O'Keefe, Successor Conservator of Dolores W. O'Keefe, Successor Trustee of the Michael A. O'Keefe Sub-Trust of the Dolores W. O'Keefe Living Trust dated September 20, 1990, and Successor Trustee of the Michael A. O'Keefe Sub-Trust of the Dolores W. O'Keefe Irrevocable Trust dated July 12, 1996

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Adam I. Gebeau and Gary G. Gebeau, (Claimants) vs. E*Trade Securities. Inc., (Respondent) Case_Nnmbert 00-00569 jigging Site: New York, New Yorfe REPRESENTATION OF PARTIES Claimants, Adam J. Gebeau ("Mr. Gebeau") and Gary G. Gebeau, hereinafter collectively referred to as "Claimants 1 *, appeared pro $e. Respondent, E*Trade Securities» lac., hereinafter referred to as

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Arthur S. Mishler, Claimant v. Bear, Stearns & Co. Inc., Respondent Case Number: 04-01992 Hearing Site: Los Angeles, California Nature of the Dispute: Associated Person v. Member REPRESENTATION OF PARTIES For Claimant: Michael M. Gless, Esq. Keesal, Young & Logan Long Beach, California For Respondent: Dan Taub, Esq. Bear, Stearns & Co. Inc. New York, New York CAS

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Dixie C. Watt, individually and as trustee for the benefit of Dixie C. Watt Revocable Trust And 04-01989 Nashville, Tennessee Name of Respondents Royal Alliance Associates, Inc. Philip W. Russell Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Dixie C. Watt, individually and as trustee for the

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 04-01980 Richard Campbell Bette Campbell Names of the Respondents Hearing Site: Boca Raton, Florida Citigroup Global Markets, Inc. Richard Mock Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Richard Campbell and Bette Campbell, hereinafter collectively referred to as "Claimant