AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Rosa Q. O'Neal and Case Number: 01-05168 Hearing Site: Southfield, Michigan Names of Respondents American Classic Securities, Inc. William E. Liverman, and American Equity Investment Life Insurance Co. REPRESENTATION OF PARTIES Rosa Q. O'Neal ("Claimant") was represented by Laurence S. Schultz, Esq., Driggers, Schultz & Herbst, Troy, Michigan.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Mary E. Rallo Link, Claimant Vs. Case Number: 01-05163 First St. Louis Securities, Inc., and Walter Roddy, Respondents. Hearing Site: St. Louis, Missouri REPRESENTATION OF PARTIES Claimant Mary E. Rallo Link ("Claimant") was represented by Steven W. Koslovsky, Esquire, of Blumenfeld, Kaplan & Sandweiss, P.C., St. Louis, Missouri. Respondents First St. Louis Secur

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name, nf the Claimant Case. Number. 01-05162 Robert Johnson and Elaine Johnson, JTTEN Name of the Respondents Morgan Stanley DW, Inc. and Riley Everett Hughes, Jr. Hearing Site: Raleigh, North Carolina RF.PRF.SKNT ATTOM OF PASTIES Claimant Robert Johnson and Elaine Johnson, JTTEN, hereinafter referred to as "Claimant", was represented by William B.L, Little, Esq. of

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: H. Ronald Reder (Claimant) v. Smith Barney, Inc., n/k/a Citigroup Global Markets, Inc. and Jeffrey Wigbels (Respondents) Case Number: 01-05160 Hearing Site: Cincinnati. Ohio Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES Claimant H. Ronald Reder hereinafter referred to as "Claimant": James K. Keller, Esq., Schwartz, Manes & R

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Pedar McHattie, Claimant v. Baxter Banks & Smith Ltd., Mikhail S. Shklvosky, Francis Martin McDermott, Oleg A. Feldman and Kevin Ruggi'ero. Case Number: 00-01397 Hearing Site: Houston. Texas REPRESENTATION OF PARTIES Claimant, Pedar McHattie, hereinafter referred to as "Claimant" of Victoria, Texas Represented himself. Respondent, Baxter Banks & Smith Ltd., was represented

-r, ""**•*»• Finra ^ FINRA DR In the Matter of Arbitration Between Case: Bryn Kaufman v. Janney Montgomery & Scott LLC', Michael Mufson, Zvi Zim, and Jeff Harrow Individually Docket: 2006-016638 Attorneys: For Claimant(s): Robert E. Karoly - Savannah, GA For Respondent(s): Tucker H. Byrd - Orlando, FL Zvi Zim - Hallandale, FL Date Filed: 9/11/2006 First Scheduled: 03/12/2008 Decided: 6-02-08 Case Summary: Customer Claimant alleges unsuit

Finra FINRA DR In the Matter of Arbitration Between Case: Lehman Brothers Inc. v. Mary Lauritano Docket: 2006-016579 Attorneys: For Clainiant(s): Charles L. Pickett - West Palm Beach, FL For Respondent(s): Debra Jenks - Jupiter, FL Date Filed: 8/16/2006 First Scheduled: 08/06/2007 Decided: 6-02-08 Case Summary: Member Firm Claimant alleges breach of Employment Agreement and non- payment of Promissory Note. Product: Promissory Note

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between; Names of the Claimants Case Number: 01-05156 Richard D. Leonard, IRA Carol E. Leonard, IRA Richard D. Leonard, TR FBO Richard D. Leonard Revocable Trust UA March 6,2000 Carol E. Leonard, TR FBO Carol E. Leonard Revocable Trust UA March 6, 2000 Names of the Respondents Hearing Site: Boca Raton, Florida 21 st Century Advisors, Inc. K.W. Brown Investments

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant: Case Number: 05-05497 UBS Financial Services Inc. Respondents: Hearing Site: San Francisco, California Timothy A. Chan and Manta Ventures, LLC Counter-Claimant: Manta Ventures, LLC Counter-Respondent: UBS Financial Services Inc. Third Party Claimant: Manta Ventures, LLC Third Party Respondents: David L. Frieden, Mitchell S. Ackerman, and A. James O

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 01-05155 George B. Demmas Names of the Respondents Hearing Site: New Orleans, LA Rushdi Zalatimo J.P, Turner & Company, LLC Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For George B. Demmas, hereinafter referred to as "Claimant": Kirk Reasonover, Esq., Lamothe & Hamilton PLC, New