Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants William and Laura McLaughlin Name of the Respondents A.G. Edwards & Sons, Inc. and Stanley A. Welch Case Number: 01-04417 Hearing Site: St. Louis, Missouri ' REPRESENTATION OF PARTIES i Steven W. Koslovsky, Esq. formerly of the firm Blumenfeld, Kaplan, & Sandweiss, P.C. in St. Louis, Missouri now with the Law Offices of Steven W. Koslovsky l

Finra FINRA DR In the Matter of Arbitration Between Case: Demetrios Stathis & Diana Stathis v. Bear Stearns, Inc. Docket: 2006-016440 Attomeys: For Claimant(s): William Paul Nolan - New York, NY For Respondent(s): Jeffrey Mitchell - New York, NY Timothy McAuliffe - New York, NY Date Filed: 2/23/2006 First Scheduled: 10/03/2006 Decided: 3/13/2008 Case Smnmary: Claimants, customers, have alleged that respondent member firm engaged in fraud

Finra ^ FINRA DR In the Matter of Arbitration Between Case: Mark Noonan v. UBS Securities, Inc. Docket: 2006-016626 Attomeys: For Claimant(s): Kenneth A. Zitter - New York, NY For Respondent(s): Kevin LeBlang - New York, NY Tahl J. Goldstein - New York, NY Date Filed: 11/6/2006 First Scheduled: 06/08/2007 Decided: 3 / j g / Q 8 Case Summary: Claimant, a former employee of Respondent, alleges wrongful termination, breach of contract, fraud, u

Finra FINRA DR In the Matter of Arbitration Between Case: Martin J. Brophy v. Prudential Securities Inc. Docket 2003-011606 Attorneys: For Clainiant(s): William T. Marshall, Jr. - Roseland, NJ For Respondent(s): Stephen Ratner - New York, NY Date Filed: 4/1/2003 Firat Scheduled: 03/10/2004 Decided 3/18/08 Case Sununary: Claimant, non member, alleges the member firm respondent underpaid him while he was an employee of the respondent. Claimant ass

Award NASD Dispute Resolution, Inc. In tlie Matter of the Arbitration Between: Harrison Valante and Diane Valante, (Claimants) vs. Mason Hill & Company, Incorporated, Christopher Kinsley, Gerard Celmer, Richard W. Stopa, Coleen Garay, Walter Durchhalter, Bear Stearns Securities Corporation. CIBC Oppenheimer Corporation, and CIBC World Marltets Corporation, (Respondents) Case Number: 00-00599 Hearing Site: New York, NY REPRESENTATION OF PARTIES Claim

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Dr. Edward R. Falkner, Individually and as Trustee of the Dr. Edward R. Falkner Profit Sharing Plan Trust and the Dr. Edward R. Falkner IRA, Claimants v. Fahnestock & Co. Inc., Lee Hartzmark and Bruce Hartzmark, Respondents. Case Number: 01-04415 Hearing Site: Cleveland, Ohio Nature of the Dispute: Customers vs. Member and Associated Persons REPRESENTATION OF PARTIES

N.A.S.D. AWARD .NATIONAL ASSOCU'nON OF SECLIUTIES DEALERS In the Matter of the Aibitration Between Name of Claimant Minnesota Orche.stral Association Names of Respondents Piper Jaffray, Inc., I^r Capital Management, Inc. and Piper Jal^ray Companies, Inc. 94-03973 REPRESENTATION Claimant, Minnesota Orchestral Association was represented by Geoffrey P. Jaipe, Esq. and John R. Landis, Esq. of Maun & Simon, PLC, St. Paul, Muinesota. Resp

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DFALERS. INC. In the matter of the Arbitration Between Name nf Claimant Mervyn M. Dymally Name of Respondentf s^ Doley Securities, Inc. and Harold E. Doley NASD Arbitration No. 944)3970 ForClaunam: For Respondem: REPRESENTATION Dr. E. Faye Williams, Esq. Law Offkes of E. Faye Williams Washington, D.C. Mr. Harold E. Doley Jr., Esq. Doley Securities New Orleans, Louisian

Award NASD Dispute Resolution In the Matter of the Arbitration Between: n f tllf f-lflirPflnt! 1 ? f*fl< y TMnmhpfl" 01-04413 Thomas Jay Setz Hiring Sitp- Philadelphia, PA nf thp Salomon Smith Barney, Inc., n/k/a Citigroup Global Markets, Inc. Robert A. Papariella Roger A. Hannigan First Union Securities, Inc. RFPPFSFNTATTON OF PAPTIF.fi Claimant, Thomas Jay Setz ("Setz"), hereinafter referred to as "Claimant", was represe

NATIONAL ASSOCIATION OF SECURITIES DEALERS AWARD In the Matter of the Arbitration Between Fred Hermes, Claimant, V. NASD No. 94-3969 Charles Schwab & Co. Inc. and Daniel J. Lind, Respondents. Representation For Claimant: Pro se, San Francisco, California For Respondents: Jonathan Klein. Esq. of Steefei, Levin & Weiss, San Francisco, California Case Information Statement of Claim filed: September 26, 1994 Claimant's Submission Agr