N.A.S.D. AWARD N. A. S. D. REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Stephen J. Puerini Case No. vs. 95-03863 Name of Respondents Janney Montgomery Scott Inc. Schneider Securities Inc. Vincent DiGiulio Josephthal Lyon & Ross, Inc. REPRESENTATION For Claimant, Stephen J. Puermi r'Claimam"), William A. Jacobson, Esq., from the law firm of Kaplan & Jacobson, Inc., located in Providence, Rhode Island.

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant William J. Stahl Names of the Respondents Merrill Lynch, Pierce Fenner & Smith Incorporated Robert A. Schwarz Larry N. Ovnicek Case Number: 03-02964 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES For William J. Stahl, hereinafter referred to as "Claim

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants J.E. Liss & Co., a/k/a Liss Financial Services, a Wisconsin Corporation and Jerome E. Liss vs. Case Number: 04-07312 Hearing Site: Chicago, Illinois Name of Respondent Richard D. Kushnir NATURE OF THE DISPUTE Terminated Member and Associated Person vs. Associated Person REPRESENTATION OF PARTIES J.E. Liss & Co., a/k/a Liss Financial Service

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 06-03287 Pamela S. Blackwood, (Claimant) vs. Fidelity Investments Institutional Services Company, Inc., (Respondent) ATTORNEYS: Claimant appeared pro se, Crystal Beach, FL For Respondent appeared in-house counsel Kerry Florio Labovitz, Esq., Boston, MA. NATURE OF DISPUTE: Customer vs. Member DATE FILED: July 11, 2006 CASE SUMMARY: Claimant alleged that Respondent breached a contract by

AWARD NASD DISPUTE RESOLUTION In the Matter of the Arbitration Between: Prudential Equity Group, LLC f/k/a Prudential Securities, Incorporated vs. George Stanley Blake Case Number: 06-00024 SITUS: Atlanta, Georgia NATURE OF DISPUTE: Member v. Associated Person. REPRESENTATION OF PARTIES Prudential Equity Group, LLC, hereinafter referred to as "Claimant": Alan M. Lubiner, Esq., Lubiner & Schmidt, Cranford, New Jersey. Respondent did not enter

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-06176 Gary A. Friedman and Lisa E. Friedman, individually and jointly; Friedman and Friedman, P.A. Pension & Profit Sharing Plan, Gary A. Friedman, Trustee; Gary Friedman IRA, and Friedman Family Limited Partnership, Gary A. Friedman, General Pamter Name of the Respondent Hearing Site: Boca Raton, FL Merrill Lynch, Pierce, Fenner & Smith,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Cynthia J. Webb, Claimant v. Merrill Lynch, Pierce, Fenner & Smith, Inc. and Kieran T. Maloney, Respondents Case Number: 03-05797 Hearing Site: San Diego, California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Arthur S. Leider, Esq. Investors Arbitration Specialists, Inc. San Diego, California For Respondents:

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Graham G. Sampson 94-05540 Stratton Oakmont, Inc. REPRESENTATION For claimant Graham G. Sampson ("claimant") appeared J. Allan Provan a sole practitioner located in Wayne, New Jersey. For respondent Stratton Oakmont, Inc. ("respondent") appeared Amal Aly, Esq. of the law firm Teozer Greenblatt LLP located in New York, New York.

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Richard M. Kaul v. C.S. First Boston Corporatton Attorneys: For Ctoimant(s): David B. Wechsler Esq. - New York, NY For Respondenl(s): Richard S. Boris Esq. - New York, NY Date Filed: 04/19/1995 First Scheduled: 02/26/1996 Case Summary: claimant alleges ttie firm is to breach of contrad for failing to pay termination. Claimant also seeks severance compensation and all

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Bradford FIske v. Merrill Lynch, Pierce, Fenner & Smitti, Inc. and Men^ili Lynch & Co., Inc. Attorneys: For Claimant(s): Thomas R. Grady Esq. - Naples, FL Kevin B. Love Esq. - Coral Gables, FL For Respondent(s): Frances S. Chlapowski Esq. - New Yori^, NY Date Filed: 11/29/2001 First Scheduled: 03/07/2002 Decided: 4/9/2002 Case Summary: Claimant alleges that M