Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Henry W. Gaylor and Louise E. Gaylor Name of the Respondents Morgan Stanley Dean Witter Inc., John Robert Cloak, and Brian Bower Case_Number:01-Q5192 Hearing Site: Albuquerque, New Mexico REPRESENTATION OF PARTIES Claimants Henry W. Gaylor and Louis E. Gaylor hereinafter Collectively referred to as "Claimants": Thomas J. Shuchert, Esq., The Berga

Finra FINRA DR In the Matter of Arbitration Between Case: Alton J. Browning and Judy Browning v. A.G. Edwards & Sons, Inc. and Lake K. "Tripp" Boyer III Docket: 2007-016669 Attorneys: For Claimant(s): Edward J. Dovin - Atlanta, GA For Respondent(s): Lake K. Boyer - St. Louis, MO Matthew Salamon - St. Louis, MO Date Filed: 1/18/2007 First Scheduled: 04/15/2008 Decided: 5/8/2008 Case Summary: Customer Claimants allege unsuitability, breach of

Award NASD Dispute Resolution In the Matter of the Arbitration Between: nf the Claimants Case Number. 01-05189 Albert C. Richmond and June E. Richmond Name of the Respondents Hearing Site: Houston, Texas Merrill Lynch, Pierce, Fenner, & Smith Inc. TCW Asset Management Company REPRESENTATION OF PARTIES Claimants Albert C. Richmond and June E. Richmond, hereinafter collectively referred to as "Claimants": Mack C. Watler, Esq., Ross, Banks, May

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Alfred G. Block, (Claimant) vs. First Montauk Securities Corp. (Respondent) vs. Kenneth Marsh (Third-Party Respondent) Case Number: 00-01404 Hearing Site: New York, NY REPRESENTATION OF PARTIES Claimant, Alfred G. Block, hereinafter referred to as "Claimant": Michael Present, Esq., Sexter & Warmflash, P.C., New York, NY. Respondent, First Montauk Securities Corp., hereinaf

Finra f r I'l.itK.i.il miliistry Kcyuljtotv Authoiily FINRA OR In the Matter of Arbitration Between Case: Opponhoimor & Co., Inc. v. Eric L. Wang Docket: 2()()7-016722 Attorneys: For Claimant(s): Cory S. Zadanosky - Lake Worth, FL For Respondent(s): Ming C. Wang - Weston, FL Date Filed: 4/23/2007 First Scheduled: 01/29/2008 Decided: 07/03/08 Case Summary: Member firm claimant alleges a failure to repay the balance due on a promissory note. P

AWARD NASD Regulation, Inc. In file Matter of tibe Aibittatioii Between TffflfffQlitnttin 9^03566 Bellamih, Nenbuicr & Banett, IK. David Catrall M°™SgNTATIQN For CUdmaot: Chiries R. Mc Carflqr, Jr, Esq. of O'Comer St Hannin. L.L.P.; Waddngton, D.C. For Respandent Bdlamsh, Neobanier & Banett, be. ('Bdlunah"): Andrew R. Bellamah, Managing Director, Bdlamah, Neahmser & Barreit Inc., Washington, D.C. Reapcndent David Caimll ("Cafrcdl") did n

94-03221 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Aibitration Between Nanienfriainiantfa-> Elaine Goldstein as Personal Representative of the Estate of Lillian Sack NameofResDondentfs^ Marshall Sade J.B.Hanauer & Co.,Inc. REPRESENTATION For Claimant, Elaine Goldstein, as Personal Rq}resentative of the Estate of Lillian Sack ("Goldstein"): Brian Cooke, Esq. of Amstein & Lehr, West Palm Beach, Ftor

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 01-05185 Investec Ernst & Company, claimant vs. Dexter Kirmon John, respondent. ATTORNEYS: For Claimant appeared in-house counsel Edward L. Rose, Esq., Woodbury, NY. Respondent did not respond to the Statement of Claim. DATE FILED: October 2, 2001 CASE SUMMARY: Claimant alleged that respondent bleached his contractual obligations in failing to repay monies owed on a promissory note.

Finra ^ FINRA DR In the Matter of Arbitration Between Case: jolaine G. Minton, Joyce O. Gray and Janet Gray Perkins v. Merrill Lynch Docket: 2005-016245 Attomeys: For Claimant(s): Ronald S. Held - Anniston, AL Steven J. Gard - Ponte Vedra, FL For Respondent(s): Kathryn R. Eldridge - Birmingham, AL Peter S. Fruin - Birmingham, AL Date Filed: 8/30/2005 First Scheduled: 02/27/2007 Decided:6/25/08 Case Summary: Customer Claimants allege Responde

Finra ^ w FINRA DR In the Matter of Arbitration Between Case: Shobha Chepuru v. Joseph Azzara and H&R Block Financial Advisors, Inc. Docket: 2007-016765 Attomeys: For Claimant(s): Kevin I. Lovitz - Philadelphia, PA For Respondent(s): Kathleen A. Dedenbach - Detroit, MI Date Filed: 6/18/2007 First Scheduled: 05/20/2008 Decided: 6/11 /2008 Case Summary: Claimant, former registered employee of Respondent, alleges discrimination, wrongful termin