Award NASD Dispute Resolution In the Matter of the Arbitration Between: Alfred E. Mann, Claimant v. Bear, Stearns & Co. Inc. and Michael J. Goldberg, Respondents Case Number: 01 -05182 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Linda L. Northrup, Esq. Law Offices of Linda L. Northrup Los Angeles, California For Respondents: Stephen Young, Esq.

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Salomon Smith Barney Inc., (Claimant) vs. Prudential Securities Incorporated and Howard Coleman, (Respondents) Case Number: 01-05177 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Salomon Smith Barney Inc., hereinafter referred to as "Claimant": Blythe E. Lovinger, Esq., Kasowitz, Benson, Torres & Friedman LLP, New York, NY. Respondents, Prudential Se

Award NASD Dispute Resolution In the Matter of the Arbitration Between: First Union Securities, Inc., Case Number: 01-05173 Claimant, vs. Edwin Houston Ha^es, Hearing Site: Houston, Texas Respondent. Nature of Dispute: Member vs. Associated Person PARTTFS Claimant First Union Securities, Inc., hereinafter referred to as "Claimant," was represented by Harris L. Kay, Esq. and James A. Murphy, Esq. of LeClair Ryan located in Richmond, Virginia.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Edward C. Kvetko 94-03847 Name of Respondent Olde Discount Coiporation REPRESENTATION For Claimant, Edward C. Kvetko, ("Kvetko") Ronald S. Holliday, Esq. of Rudnick & Wolfe, Tampa, Fl. For Respondent, Olde Discount Corporation, ("Olde") Delmer C. Gowing, III, Esq. of Hertz, Schram & Saretsky, P.C., W. Palm Beach, Fl.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Vera D. Lester and Gretchen Keyes Name of the Respondent PFIC Securities Corporation Case Number: 01-05172 Hearing Site: St. Louis, Missouri REPRESENTATION OF PARTIES Claimants Vera D. Lester and Gretchen Keyes ("Claimants"): Donald J. Mehan, Jr., Esquire, of Moline, Shostak & Mehan, LLC, St. Louis, Missouri. Respondent PFIC Securities Corporat

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

Finra '^ FINRA DR In the Matter of Arbitration Between Case: Citigroup Global Markets, Inc. v. Thomas Coelho Docket: 2007-016741 Attorneys: For Claimant(s): Kenneth O'Connor - Crandford, NJ For Respondent(s): 'i'homas P. Reilly - East Rockaway, NY Date Filed: 5/22/2007 First Scheduled: 03/28/2008 Decided: 6-04-08 Case Summary: (Claimant, member firm, alleges respondent, former employee, breached his loan agreement by failing to pay the balance d

Finra FINRA DR In the Matter of Arbitration Between Case: Oppenheimer v. William H. Irving Docket: 2007-016702 Attorneys: For Claimant(s): John T. McGuire - New York, NY For Respondent(s): William H. Irving - Boston, MA Date Filed: 3/23/2007 First Scheduled: 01/23/2008 Decided: 6-03-08 Case Summary: C-laimant, member firm, alleges respondent, former employee, failed to pay monies due pursuant to a promissory note and a stabilization agre

Finra -^ FINRA DR In the Matter of Arbitration Between Case: Lehman Brothers Inc. v. Scott Siege! Docket: 2006-016514 Attorneys: For Claimant(s): Victor A. Machcinslci - New York, NY For Respondent(s): David B. Wechsler - New York, NY Date Filed: 5/25/2006 First Scheduled: 02/14/2007 Decided: 6-09-08 Case Summary: Claimant, member firm, alleges respondent, former employee, breached his contract by failing to repay monies owed pursuan

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimants Clifford and Donna Blackmer, Barbara Blackmer and 01-05171 Phoenix, Arizona Name of Respondent Morgan Stanley DW Inc. Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimants CLIFFORD BLACKMER and DONNA BLACKMER, husband and wife, and BARBARA BLACKMER, were represented by Titus, Brueckner & Berry, P.C., Scottsdale, Arizona.