Stipulated Award NASD In the Matter of the Arbitration Between: Names of the Claimants Fred Morton, individually and as Trustee for the Fred Isaac Morton Trust U/A DTD 3/10/99 and Eve Morton Names of the Respondents R. Seelaus & Co., Inc., Brian E. McLaughlin and Richard Paul Seelaus Case Number: 01-04375 Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For Fred Morton, individually and as Trustee for the Fred Isaac Morton

Finra w FINRA DR In the Matter of Arbitration Between Case: Nat Palaniappan v. H&R Block Financial Advisors, Inc. Docket 2004-015673 Attomeys: For Claimant(s): Nat Palaniappan - Scottsdale, AZ For Respondent(s): Howard M. Klausmeier - Detroit, MI Date Filed: 8/24/2004 First Scheduled: 07/26/2005 Decided: 2/11/2008 Case Sunmiary: Customer v. Member Firm alleging violations of securities laws and SRO rules, unsuitable investments and u

Finra FINRA DR In the Matter of Arbitration Between Case: Michael Coutant and Tanis Goheen v. Morgan Stanley Dean Witter and David Owen Earle Docket: 2002-010359 Attomeys: For Claimant(s): Cary S. Lapidus - San Francisco, CA Kathy L. Monday - Modesto, CA Roger M. Schrimp - Modesto,, CA For Respondent(s): Boyd C. Sleeth - Oakland,, CA Eric G. Wallis - Oakland, CA Date Filed: 5/29/2002 First Scheduled: 12/06/2005 Decided: 2 /15 / 0 8 Case

Finra FINRA DR In the Matter of Aibitration Between Case: David Garrity v. Hapoalim Securities USA, Inc. f/k/a Investec (US) Incorporated Docket 2006-016639 Attorneys: For Claimant(s): David E. Robbins - New York, NY For Respondent(s): Evelyn Bukchin - New York, NY Date Filed: 11/16/2006 First Scheduled: 09/27/2007 Decided: 2/26/08 Case Summary: Claimant, a former employee of Respondent, alleges breach of contract and wrongful termination. P

Finra Financial Industry Regulatory Authority FINRA DR In the Matter of Arbitration Between Case: Oppenheimer & Company, Inc. vs. Jared Finlc Docket: 2007-016757 Attomeys: For Claimant(s): Cory S. Zadanosky - Lake Worth, FL For Respondent(s): Jared E. Fink - Parkland, FL Date Filed: 6/6/2007 First Scheduled: 01/25/2008 Decided: 2/14/2008 Case Summary: Member firm Claimant alleges breach of contract in connection with the failure to repay the

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Susan Lutsky IRA, Burton L. Lutsky IRA, The Lutsky Family Trust, The Lutsky Family Trust Star-Roxbury, The Justin Lutsky UTMA-CA, and The Amanda Lutsky UTMA-CA, Claimants v. CIBC World Markets Corp. and James S. Miles, Respondents Case Number: 01-04374 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimants: For Respondent CIBC World Markets

AWARD NASD Dispute Resoiution In the Matter of the Artiitration Between: Names of Claimants C. John Kemper and Gwendolyn Kemper, individually and as Beneficiaries of their IRAs vs. Case Number: 05-05846 Hearing Site; Kansas City, Kansas Names of Respondents Menill Lynch, Pierce, Fenner & Smith. Inc., Darcy A. Howe, and James T. Hise NATURE QF THE DISPUTE Customers vs. Member and Associated Persons REPRESENTATION OF PARTIES C. Joh

AWARD NASD REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Mitiiat Abbak Mithat Abbak as Custodian for Yasin Abbak Case Number and 97-04719 Name of Respondents Brooklyn Capital & Securities Trading Christopher Knight Jeimes Carroll REPRESENTATION OF PARTIES For Mithat Abbak and Mithat Abbak as Custodian for Yasin Abbak (collectively referred to as "Claimants") appeared Mithat Abbak. For Brooklyn Cap

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 01-04370 Scott Andrew Selby and Rikki Selby c/f Scott Selby, claimants vs. Robert Paul Goldstein, Jr., Thomas Bruce Nelson and Salomon Smith Barney, Inc., respondents. ATTORNEYS: Claimant appeared pro se, Dana Point, CA. For Respondents appeared in-house counsel, William A. Hohauser, Esq., Marietta, GA. DATE FILED: August 16, 2001 CASE SUMMARY: Claimant alleged that respondents engaged in u

N.A.S.D. AWARD NATIONAL ASSOCIA'nON OF SECURITIES DEALERS In the Matter of Artiitration Between Nw? of gjai^i^^? Kenneth and Lilah Laslo 94-04122 Name of RestxMidents Prudential Securities, Inc. and Oswald Mechsner REPRESENTATION For Claimants, Peter Fless, Esq., sole practiooer, Trenton, NJ For Respondents, Christopher Freeze, Esq. of Prudential Securities, Inc., New York, NY CASE INFORMATION Statement of Claim filed: October 6, 199