Award NASD Dispute Resolution In the Matter of the Arbitration Between: A.G. Edwards & Sons, Inc., (Claimant) vs. White Capital Group, (Respondent) Case Number: 01-05791 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, A.G. Edwards & Sons, Inc., hereinafter referred to as "Claimant": Phyllis A. Hartrich, Esq., Litigation Counsel, A.G. Edwards & Sons, Inc., St. Louis, MO. Respondent, White Capital Group, hereinafter referred to as "Re

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Chaiter Securities Corporation Case No. vs. 95-05108 NameofRegpondents Prime Discount Securities Inc. Firstmark Investment Corporation Robert A. Rice William R. Horsfall, in For daimant, Cliarter Securities Corporation ("Claimant"), Timothy Blanl^, Esq. from the law firm of Dochert, Price & Rhoads, located in Boston, Massachusetts. For

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Canadamerica Finance Inc. (Claimant) v. Lehman Brothers Inc. (Respondent) Case Number: 01-05789 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Canadamerica Finance Inc. ("Canadamerica") hereinafter referred to as "Claimant": Arnold S. Schickler, Esq., Schickler & Schickler, LLP, New York, NY. Previously represented

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Carl M. Crawford and Tammy Crawford Names of the Respondents A.G. Edwards & Sons, Inc. Legg Mason Wood Walker Clarence L. Lott, Jr. Case Number: 01-05788 Hearing Site: New Orleans, LA REPRESENTATION OF PARTIES Claimants Carl M. Crawford and Tammy Crawford, hereinafter collectively referred to as "Claimants": David W. Mockbee, Esq. and Ellie

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the Claimants Pase Number: fll -O'STft? John Alderdice and Nancy Alderdice Name nf the Respondents Hearing Site- Richmond, Virginia Ferris, Baker Watts, Inc. and Robert L. Butler REPRESENTATION OF PARTIES Claimants John Alderdice ("J. Alderdice") and Nancy Alderdice ("N. Alderdice"), hereinafter collectively referred to as "Claimants", were represented by Charles W.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Joseph S. Fichera and Saber Partners, LLC (Claimants) v. Prudential Securities, Inc. (Respondent) Case Number: 01-05786 Hearing Site: New York, New York Nature of the Dispute: Associated Person and Non-Member v. Member REPRESENTATION OF PARTIES Claimants Joseph S. Fichera ("Fichera") and Saber Partners, LLC ("Saber") hereinafter collectively referred to as "Claimants": Sydney R.

Finra FINRA DR In the Matter of Arbitratiim Between wftse: Miller labak &. Company. l.l.C v. Imeraclive Brokers GriMip, l.l.C and Inleraelivc Broker^;, LLC v Miller Tabak & Company, LLC Oocket: 2007-0 Kid^JH Attorneys: For Claimant(s): Thomas Decca. ^'enisey Rodriguez.-.McClosky - New York, NY For Respondent(s): John Nielands - New York, NY Date Filed: V'20/2007 First Scheduled: 4/0H/2008 Decided: 11 /28/08 Case Summary: i laimant, a Member llrm

FinraT' FINR^VDR In the Matter of Arbitration Between Ca.sc: Timolhy Smalls v. SO C'owcn Securities Corporation Docket: :OOfvOlWi?l Attorneys: For ClaimantCs): Jim Balson New York. NY For Kespondent{s): Lloyd S. C'larcnian - New York, NY Date Filed: 11/10/2006 First Scheduled: 4A>/2007 Decided: 11 /26/08 Cfise Summary: ^ Claimant. f(»rnier employee of Respondent, alleses failure ro pay bonus L-ompen.-^ation and severance pay, breach of eoniracr,

Finra FINRA DU In the Matter of Arbitration Between Ca.se: llunnclorc llasl. All'rcd and Catherine Albri/io. Ann Orvin, Salvalore and Patricia Gambclurighi v. Rev. William 1.*. Jasko and Merrill I.ynch, Pierce, Tenner and Smith, Inc. Docket: 2006-016404 Attorneys: For Clainiant(s): v Iharlis Salx.-! - Ni-w Vurk, NY For Respondent(s): Nicholas l Vowel! - New York, NY Date Filed: 4/28/2006 First Scheduled: V12/2000.S Decided: , , IL/L9/08

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of thfi ("Mma-nt CXSK Number: 01-05785 Christopher J. Shaia Name of the Respondents Anderson & Strudwick, Inc. and G, Lee Crenshaw, n RF.PRFSFNTATTON DP PARTTFS Claimant, Christopher J. Shaia, hereinafter referred to as "Claimant" was represented by K. Dennis Sisk, Esq., McKinnon & Sisk, PLC, Richmond, Virginia. Respondents, Anderson & Strudwick, Inc. ("A&S")