AWARD NASD RRCrfJLATION INC OFFirE OF DISPUTE RESOLUTION In the matter of the Arbitration Between NamftofClaimantfg'^ Rockefeller, Rothschild ft Steele V. Afbitration No. 94-05471 N-TC ftf Rqpntiri«tit(JO Wcdbush Morgan Securities, Inc. M H. Mcyenon ft Co., Inc. Westminster Soctiritiea Coipocation Stuul, Coleman ft Co.Jnc. A.T. Brod&Co.. Inc., James P. Minaky Claudk) lodice Michael O. Faricas J.R. BautisU EdwanI W. Wed

AWARD NASD REGUlATffON. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name nf Claimant Jeffrey W. Steinberger V. Arbitration No. 95-02231 Name of Respondents Steve Schwartz, Seaboard Securities, Inc.. and Roy Abramowitz REPRESENTATION For Claimant Jetfrey W. Steinberger, Esq.. and Hanan Weinstein, Esq. Law Office of Jeffrey W. Steinberger Beverly Hills. Caiitbmia For Respondent Steve Schwartz:

M,A,S,1>, AWARD NATIONAL ASSOCIATION OF SECURITIES. DEALERS, INC. In the matter of the ArbiU:ation Between PKB Construction, Inc.. Boulder Construction, Inc. and PKB Construction. Inc. Profit Sharing Plan V. NASD Arbitration No.95-05455 Name nf Respondents Santa Barbara Securities. Inc., John S. Weymouth. Carl E. Lindros. Sandra Carver Kubenstein and Richard A. Kieding For Claimants: For Respondents: REPRESRVTATION Irwin G. Stein

N.A.s.n. AyyAi»> MATrmSTAL A< !.< !fy^TATTnM OF SFriTPTTTFJ: nFAT FPg IKC In the matter of the ArbitFation Between NamP nf riaimant Marie Zalewski, Tnistee of the Marie Zaiewski Revocable Living Tnist Mfliw nf Regpnndente Dean Witter Reynolds, Inc. & Jack Lentz NASD Arbitration No. 94-04315 PFPPRWMTATfmtf For Claimant: David M. Grey, Esq. Turner, Cooper & Reynolds Irvine, California For Respondents: David P. Restaino, Esq. and Darcy

FINRA OR In the Matter of Arbitrattoii Betu'cen Case: lilea/ar Rivem. Omega Engineering Corp.. and Hebco Investment Inc. V. Salomon Smith Barney a/k-a Smith Barney Citigroup Docket: :00S< 115964 Attorneys: For Claimants: Marie Elsie Lopez Adamcs. Esq. - San Jiuin, PR For Respondent: Nestor Mcnde/ Gome/. Esq. - S:in Jmin. PR Date Filed: 1/19/200') First Scheduled: 5/22/2006 Decided: 8/10/09 Case Summary': Lliisromor ^Hrtinuinr allosi-s unsiiira

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Marvin R. Juelson, Claimant v. Global Capital Securities Corporation, Raymond Clark, Richard P. Aversa, Anthony C. Cennamo, Jacob P. Kuijper, Leo Clark, Warren R. Markowitz and Russell K. Bean, Respondents Case Number: 01-05493 Hearing Site: San Francisco, California Nature of the Dispute: Customer vs. Member and Associated Persons REPRESENTATION OF PARTIES For Claimant:

r- IMC-. QPJlCg OP DISPPTB ySSOLXTPTCOa in the matter of the Arbitration Between Dr. Steven o. Thomas Arbitration No. 96-05536 Eric Blumen BSEBISBDCAZZfiK For Claimant: Dr. Steven 0. Thomas, Veradale, Washington For Respondent: No i^earance by £rlc Blumen Statement of Claim filed: Decenlber 10, 1996 Claimant's Submission Agreement signed: December 11, 1996 Respondent Brlc Blumen did not file a Statement of Answer. However, he is sxibject to N

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Scott Wilbanks, Claimant v. Milestone Financial Services, Inc., Anthony James Ustica, Gregory Evan Welter, Anthony Michael Gardini, Jr. and John Charles Boylan, Respondents Case Number: 01-05491 Hearing Site: San Francisco, California REPRESENTATION OF PARTIES For Claimant: Reed H. Bement, Esq. San Francisco, California For Respondents: Robert T. Sullwold, Esq. Sullwold & Hu

Finra FINRA DR In the Matter of Arbitnitioti Between Case: Kalin Associates, Inc. v. Salvatore A. Suarino, Stephen P. I'olcy. and Finiai Preferred, LI.C v. Kalin Associates. Inc. and Sharon Kalin Docket: 200MJ16537 Attorneys: For Claimant: Anthony Paduano. Hsq.- N\w York, NY For Respondents: Daniel Callavvay. L-sq. - N\^w Yt»rk, NY SiiK-an>ro Suarino- Sav\illf, NY Date Filed: Ob/l^VZOOh First Scheduled: 0\/'iO/:OOS Decided: 08/10/09 C

Award NASD Dispute Resolution In the Matter of the Arbitration Between: of th p fi^im*"^ rflgpNnmter 01-05486 Paul and Marie Krepicz JTWROS Marie T. Krepicz IRA Paul Krepicz IRA '"'f uV F^p 0 ^^ Hiring Sit?' Philadelphia, PA Merrill Lynch Pierce Fenner & Smith Inc OF Claimants, Paul and Marie Krepicz JTWROS ("Krepicz"), Paul Krepicz IRA ("P. Krepicz IRA"), and Marie T. Krepicz IRA ("M. Krepicz IRA"), hereinafter collectively