Award NASD Dispute Resolution In the Matter of the Arbitration Between: Ming-Yan Liao and Chun-Chi Fu, Claimants v. Morgan Stanley DW Inc. and Samson Su, Respondents Case Number: 03-07241 Hearing Site: Los Angeles, California Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES For Claimants: Brad L. Milove, Esq. Miller Milove & Kob San Diego, California For Respondent Morgan Stanley DW Inc.: Ted A. Gehr

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-07234 Richard McWilliams and Georgette McWilliams JTWROS Name of the Respondent Hearing Site: Orlando, Florida First Union Brokerage Services Inc. n/k/a Wachovia Securities, LLC Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Richard McWilliams ("R. McWilliams") and Georgette McWilliams ("G. McWilliams")

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants Roland and Linda Robertson and Respondents American Express Financial Advisors Kelly Lee Diestler Case Number: 03-07231 Hearing Site: Milwaukee, Wisconsin NATURE OF DISPUTE Customers v. Member and Associated Person REPRESENTATION OF PARTIES Roland Robertson and Linda M. Robertson ("Claimants") were represented byErwin Cohn, Esq., Cohn & Cohn, Chi

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 00-01523 Norwest Investment Securities, Inc., Claimant vs. Yasser Elmahady, Respondent. ATTORNEYS: For Claimant, Norwest Investment Securities, Inc., ("Claimant"), appeared Shawn M. Woodbury, Esq. of the firm Messerli & Kramer, P.A.,Minneapolis, MN. Respondent, Yasser Elmahady, ("Respondent"), did not respond to the Statement of Claim. DATE FILED: April 11, 2000 CASE SUMMARY: Claimant

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the Daimant Case Number: 05-01745 Samuel P. Caputo Family Tmst; Samuel P. Caputo, Jr., Martha Jean Caputo And Patricia Ann Tarrabocchia, Trustees Nnmes of the Respondents Hearing Site- Charleston, WV Merrill Lynch, Pierce, Fenner & Smith Incorporated Anthony Todd Watts Nature of the Dispute: Customer vs. Member and Associated Person. REPRESFNTATTON

NASD DISPUTE RESOLUTION MODIFIED AWARD NASD DISPUTE RESOLUTION CASE: 05-00362 Johannes E. Castro and Maria G. Castro, (Claimants) vs. First Command Financial Planning, Inc., (Respondent) ATTORNEYS: ~ Claimants appeared pro se, APO, AE. For Respondent appeared Ethan H. Cohen, Esq., of the frnn Schiff Hardin, LLP, Atlanta, GA. >T.*.TuiuD OT7 OISPUTE: Customers vs. Member DATE FILED: January 18,2005 CASE SUMMARY: Claimants alleged that Responden

Award NASD Dispute Resolution In the Matter of the Aibltration Between: James Lee Corcoran, (Claimant) vs. Trans-Hudson, LLC, Oiristopher R. Ranni, Rafael G. Riverso, William E. Hesse, Michael S. Cardello. Mercury Trading LLC, Greg Mdlick, Doug Leavell, Don Hudec, and Mike Giordano, (Respondents) Case Number: 0(M)1689 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claunant James Lee Corcoran, herBinafter referred to as ''Claimant*': Daniel Ca

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Harry Freda (Claimant) v. Fano Holdings, Inc., Fano Securities, LLC, and Stephen D. Garrow (Respondents) Case Number: 03-07227 Hearing Site: New York, New York Nature of the Dispute: Associated Person v. Members and Associated Person. REPRESENTATION OF PARTIES Claimant Harry Freda ("Freda") hereinafter referred to as "Claimant": Neil A. Sussman, Esq., Sussman & Frankel, LLP, New

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. in "the Matter of" thie Artitraftomexween/Among Merrill Lynch Pierce Fenner & Smith Claimant vs Case #88-01499 Award (Consolidated w/ #88-01821) Moses Goldberger Respondent In the Matter of the Arbitration Between/Among Sholem & Moses Goldberger Claimant vs Merrill Lynch Pierce Fenner & Smith Merrill Lynch Bank & Trust Co. and George Connerat Respondents Case #88

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of Arbitration Between Name of Claimant Joseph Melendez 94-02444 Name of Respondent RAS Securities Corporation, Ray Dirks Research and Robert A. Schneider REPRESENTATION For Claimant: Dan A. Druz, Esq., sole practioner, Sea Grit, NJ. For respondent: Sheldon H. Gopstein, Esq., sole practioner, New Yorlc, NY. CASE INFORMATION Statement of Claim filed: June 27, 1994