AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Michael and Denise Frasier and Name of Respondent Charles A. Schwab & Co., Inc. Case Number: 01-05264 Hearing Site: Southfield, Michigan REPRESENTATION OF PARTIES Michael and Denise Frasier ("Claimants" or "Frasiers") were represented by Anthony V. Trogan, Esq., Anthony V. Trogan, PLLC, West Bloomfield, Michigan. Charles A. Schwab & Co., Inc. ("

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of tlie Arbitration Between Name of Claimantfs') Mitchell E. Sahn 94-02701 Name of Respondents) Alberto Bailleries Raul Obregon Guiliermo Schultz Emilio Galetzki Juan Bordes Salvatore Orozco Valmex International, Inc. RICPRESENTATION Claimant, Mitchell Sahn ("Sahn"), appeared pro se. Respondents ValMex International Inc., ("ValMex"), Alberto Baillerie

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: CHARLES E. DICKINSON and ANNE DICKINSON, Claimants, v. SIGMA FINANCIAL CORPORATION, JEROME S. RYDELL, MICHAEL J. BROOKS, MARINER FINANCIAL SERVICES, INC., J. WILL PAULL, CLARK COLTON, WILLIAM GREGG, DENNIS BROWN, ROBERT BOONE, KENNETH D. WARNICK, GEORGE E. LEDDEN, APEX FINANCIAL SERVICES and SIGMA APEX FINANCIAL SERVICES, Respondents.

FinraF FINRA DR In the Matter of Arbitration Between Case: Carlton Stephenson v. Wachovia Securities, LLC Docket: 2007-016725 Attomeys: For Claimant(s): Milton H. Fried - Houston, TX For Respondent(s): Andrew R. Park - Richmond, VA Date Filed: 4/30/2007 First Scheduled: 03/14/2008 Decided: 8-98-08 Case Summarjr: Customer, claimant, alleges violation of SRO rules, negligence, misrepresentation, unsuitable investment recommendations, viola

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimantfs^ Mitchell E. Sahn 94-02701 Name of Re.spondentfs) Alberto Bailleries Raul Obregon Guiliermo Schultz Emilio Galetzki Juan Hordes Salvatore Orozco Valmex International, Inc. REPRESENTATION Claimant, Mitchell Sahn ("Sahn"), appeared pro se. Respondents ValMex International Inc., ("ValMex"), Alberto Bailleries

STIPULATED AWARD NASD REGULATION, INC. In the Matter of the Arbitration Between: Antiiony C, Varbero, NASD Arb. No. 98-03194 Claimant, LT Lawrence & Co., Inc., Todd Roberti, Lawrence Principato, Joseph Principato, Jeanne Hernandez, Lori Roberti, Maria McGinn, Jeffrey Schwartz and Robert Drake, Respondents. REPRESENTATION OF PARTIES Anthony C. Varbero ("Claimant") was represented by Michael H. Ference, Esq. of the law firm of

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Nancy Adrian as Personal Representative of the Estate of Harry Rushton, and as Successor Trustee Under The Harry Rushton Revocable Living Trust Names of the Respondents Gruntal & Co., LLC Scott Teich Case Number: 01-05257 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member Firm and Associated Person. REPRESENTATIO

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Jonathan Gold, (Claimant) vs. Deutsche Aktiengesellschaft, Deutsche Morgan Grenfell/C.J. Lawrence, Inc., Peter Nason, and Gregory Williams, (Respondents) Case Number: 00-01414 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Jonathan Gold, hereinafter referred to as "Claimant": Joseph Giaimo, Esq. and Roya Namvar, Esq., Giaimo & Vreeburg, P.C., Kew Gardens, NY.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In ttie Matter of the Aibitration Between Name of Claimants Joseph S. Sopata Helen Sopata vs. 94-02846 Name of Respondents McLauglilin, Piven, Vogel Securities, Inc. Lloyd Pompey REPRESENTATIQN Joseph S. Sopata appeared pro se on behsHf of himself and his wife Helen Sopata (hereinafter collectively referred to as "Claimants"). For Respondents McLaughlin, Piven, Vogel Securitie

Case No. 94-02837 NASD REGULATION, INC. AWARD Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Emma Gourley by Robert F. Bagaley as Attorney in Fact Names of Respondents Thomas I. Davis, Jr. James Shaw Finck Jonathan Alan & Company, Inc. Titan Varus Equities Group, Inc. REPRESENTATION OF PARTIES Claimant was initially represented by Gary Miller of Investors Arbitration Services, Inc. ("IAS"),