FinraT^ FINRADR In the Matter of Arbitrarion Between Case: Anthony J. Muiphy vs. Prudential Securities, Incorporated and William Gardner Docket: 2006016*5^^ Attorneys: For Claimant(.s): Robert Karoiy - Voro IViuh, 1-L. For Respondent(s): Alan Brodlicrson- Nt-w York, NY Date Filed: 6/08/2006 First Scheduled: H/17/2006 Decided: i|/06/08 Case Sumniary: I hisromer claimant aIlej:o.< violiitions ot NYSK and NASH rules, broach ot tlduciary dut

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 01-05654 Harry and Marcia Resnick Names of the Respondents Hearing Site: Boca Raton, Florida UBS PaineWebber, Inc. Robert David Child REPRESENTATION OF PARTIES For Harry and Marcia Resnick ("Resnick"), hereinafter referred to as "Claimants": Robert I. Claire, Esq., Boca Raton, Florida. For Respondent UBS PaineWebber, Inc. ("

N.A.S.D. AWARD HATIOMAL ASSOCXATIOK 07 SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Legg Mason Wood Walker, Inc 94-02521 Name of Respondent James Patrick Quick RBPRESEMTAT^OH For Claimant Legg Mason Wood Walker, Inc. ("Claimant"): John R. Gilner, Counsel for Legg Mason wood walker. Inc., Baltimore, Maryland. For Respondent James Patrick Quick ("Respondent") : Appeared pro se. CASE IMPORKATIOK State

N.A.S.D. AWARD MXTZOiaL ASSOCIATION OF SECURITIES DEALERS In the Hatter of the Arbitration Between wane of Claimant Dean Hitter Reynolds Inc. 94-02921 ^ame of Respondent Frank Joyce REPRBBEHTATIOM Claimant Dean Witter Reynolds, Inc. ("Claimant") was represented by Ronald Kane, Esq., Gomberg, Kane & Fischer, Ltd., Chicago, IL Respondent J. Frank Joyce ("Respondent") was represented by Morton S. Taubman, Esq., Chester, HD CASE IMFOHMAT

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 01-05652 Peter Michael McCaffrey, claimant vs. Merrill Lynch, Pierce, Fenner & Smith, Inc., Barry Porter, James Axelson, and Louis Berlin , respondents. ATTORNEYS: Claimant appeared pro se, Monument, CO. For Respondents appeared in-house counsel, Richard N. Kim, Esq., New York, NY. DATE FILED: October 23, 2001 CASE SUMMARY: Claimant alleged that respondents failed to assess his invest

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between MQTni>rtfrlwifnflnt Ali Shahparvari Case No. 00-01682 Scottsdale Securities. Inc., n/k/a Scottrade, Inc. Hiring Sitff- Washington. D.C. PFPT?F< :FMTA'nnM nv PAPTTFC Claimant, Ali Shahparvari. hereinafter referred to as "Claimant": Donald J. Crawford, Esq.. Attorney at Law, Rockville, MD. Respondent, Scottsdale Securities, Inc., n/k/a Scottrade, Inc., hereinafter

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 01-05651 Peter S. Strauss, Claimant vs. William B. Kirby and Salomon Smith Barney, Inc., Respondents. ATTORNEYS: Claimant, Peter S. Strauss, ("Claimant"), appeared pro se, Alford, MA. For Respondents, William B. Kirby and Salomon Smith Barney, Inc. (collectively "Respondents"), appeared in-house counsel, Ann Parry, Esq., New York, NY. DATE FILED: October 23, 2001 CASE SUMMARY: Claiman

Award NASD DUputc Roolutioii, Inc. In the Matta of the Arbitration Between: Datek Online Brokerage Servicea, IXC (Claimant/CounterReipondent) v Dick and Sandra Worden (Respondcnt/Coumetaaimant) Casf ^um|)er Q0-066Q gearing Sita: Albuquerque. New Meueo TOPHFJJgNT ATTON QF PARTIIM Claimant/CouncerRespondent Daiek Online Brokerage Services. LLC (*T)aiek"}: Brian Q. Mulherin, Esq. Jones, Bell. Abbott, Fleming, and Fitzgerald, IJLP: Los Angeles. Cill

Stipulated Award NASD Dfapntt RMolntlon, Inc. In the Mauer of the Artaitration Between: Pliilip Wlrgand [CUiTnanll C«iiNinfihflrOH.01J17 V. EVHREN Securiliea, Inc.; Kevin O'Bar end Kenneih Kimball [Respondents] Hearing Site: Sun Fmncisco, dilironna BBrBBgSWTATIW PF FAyneg For CldtmmKi): For RoiiHindcnUil): 6VEK1M Seuuritivs, Inc. pow known lu rini Uniim Securitiei. Kfivin O'Bir and KsnnAlh KhnbaH JaiAwJ.SnllivM Law Onices nf

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Stuart Samuels, (Claimant) vs. Vanguard Marketing Corporation, (Respondent) Case Number: 01-05650 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Stuart Samuels, hereinafter referred to as "Claimant," appeared pro se. Respondent, Vanguard Marketing Corporation, hereinafter referred to as "Respondent": Pauline Scalvino, Esq., Counsel, Vanguard Marketing Corporati