Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of tiie Claimant Case Number: 02-03725 Charles A. Thurman (ConsoUdated with 02-06940)' Names of the Respondents Hearing Site: Orlando, Florida E*Trade Securities, Inc. n/k/a E*Trade Securities LLC E*Trade Group, Inc. E*Trade Financial, Inc. In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-06940 Charles A. Thurman (ConsoUdated witii 02

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Richard Laub and Nancy Laub Names of the Respondents Merrill Lynch Pierce Fenner & Smith, Inc. Ralph M. Byer Case No.: 02-02312 (consolidated with 02-00891) Hearing Site: Boca Raton, Florida In the Matter of the Arbitration Between: Name of the Claimant Alfred C. Laub Names of the Respondents Merrill Lynch Pierce Fenner & Smith, Inc.

Award NASD Dispute Resolution In the Matter of the Arbifration Between: Small Family Limited Partnership (Claimant) v. Tucker Anthony, Inc. (Respondent) and Stein Family Limited Partnership (Claimant) v. Tucker Anthony, Inc. (Respondent) Case Number: 02-01727 (consohdated w/02-01731) Hearing Site: New York, New York Nature of the Dispute: Customers vs. Member. REPRESENTATION OF PARTIES Claimants Small Family Limited Partnership ("Small") and Stein Fam

STIPULATED AWARD NASD Dispute Resolution. In the Matter of the Arbifration Between Names of Claimant LoisCopple Case No. 02-01566 Names of Respondents Clark Group, Merrill Lynch Pierce Fenner & Smith Inc., Thomas Clark and Grant Clark In the Matter of the Arbifration Between Names of Claimant Ellen Jayne Souza Copple Case No. 02-01567 Names of Respondents Clark Group, Merrill Lynch Pierce Fenner & Smith Inc., Thomas Clark and Grant Cla

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Donaldson, Lufkin & Jenrette Securities Corporation n/k/a Pershing LLC, Claimant v. Jef&ey D. Schrock, Respondent Case Niimber: 02-01127 Hearing Site: Seattle, Washington Consolidated with: Jeffrey D. Schrock, Claimant v. Donaldson, Lufkin & Jenrette Securities Corporation n/k/a Pershing LLC and Peter DeCastro, Respondents Case Number: 04-01050 Hearing Site: Seattle, Washington

Modified Award NASD Dispute Resolution In the Matter of the Arbittation Between: Henry Nowinski, Regina Nowinski, Elizabeth Tendler, Constance Nobis, Rudolf Nobis, Henry Sharpe, and Arline Sharpe, (Claimants) vs. Edward Angrisani, Edward Landen, The Equitable Life Assurance Society of the United States, Equico Securities, Inc., EQ Financial Consultants, Inc., AXA Advisors, LLC, Charles D. Erb, Charles D. Erb & Associates, Inc., CEA Financial Group, Inc., CEA

Modified Award NASD Dispute Resolution In the Matter of the Arbitration Between: Henry Nowinski, Regina Nowinski, Elizabeth Tendler, Constance Nobis, Rudolf Nobis, Henry Sharpe, and Arline Sharpe, (Claimants) vs. Edward Angrisani, Edward Landen, The Equitable Life Assurance Society of the United States, Equico Securities, Inc., EQ Financial Consultants, Inc., AXA Advisors, LLC, Charles D. Erb, Charles D. Erb & Associates, Inc., CEA Financial Group, Inc., CEA

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between . Name of Claimants Jaromir Kovarik, Sr. Jaromir Kovarik, Jr. vs. 98-00521 Name of Respondents Salomon Smith Barney, Inc. Lawrence J. DeFluri REPRESENTATION Claimants Jaromir Kovarik, Sr. and Jaromir Kovarik, Jr. ("Claimants") were represented by Joseph F. Keenan, Esq., New York, New York. Respondents Salomon Smith Barney, Inc. ("SSB") and Lawrence J. DeFluri ("DeFl

Stipulated Award NASD In the Matter of the Arbitration Between: Names of the Claimants Donald H. Vliegenthart, Donald H. Vliegenthart TTEE PFT SHR PLN & Tmst Cowen & Co. Alternative Spine Center U/A DTD 3/15/96 Names of the Respondents Whale Securities Co., L.P. now known as Bluestone Capital Corp., Carlos Antonio Garceran, William G. Walters, Joseph W. McSherry and Donald J. O'Connor Case Number: 01-03024 (Consohdated with 01-04267 an

t Award NASD Dispute Resolution In the Matter of the Consolidated Cases Between: Conqjuter Clearing Services, Inc., Claimant v. Dan Rubin, Beacon Trading, LLC, and Paul J. Benz, Respondents (01-01924) Beacon Trading, LLC, Paul J. Benz, and Christopher Benz, Claimants y. Computer Clearing Services, Inc., Respondent (01-02053) s Consohdated Case Number: 01-01924 Hearing Site: Los Angeles. California REPRESENTATION OF PARTIES For Conqjuter Cleari