Award NASD Dispute Resolution In the Matter of the Arbitration Between: David J. Lewis and Joanne D. Lewis, Claimants v. Merrill Lynch, Pierce, Fenner & Smith, Inc. and Marl< G. Petrie, Respondents Case Number: 06-02777 Hearina Site: Cheyenne, Wyoming Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Franl^ J. Jones, Esq. Law Offices of Frank J. Jones Wheatiand, Wyoming For Respondents

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Gary and Beverly Johnson, Claimants v. KMS Financial Services, Inc., Respondent Case Number: 06-04696 Hearina Site: Seattle, Washington Nature of the Dispute: Customers v. Member REPRESENTATION OF PARTIES For Claimants: Celeste M. Chiaramonte, Esq. The Hayes Law Firm, P.C. Houston, Texas For Respondent: Patrick N. Rothwell, Esq. Davis Rothwell Earle & Xochihua P.

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 99-03784 Xiao Ping Zhen POA for Doug Yuan, Claimant vs. Thomas F. White & Company, Inc., Respondent. ATTORNEYS: For Claimant, Xiao Ping Zhen POA for Doug Yuan, ("Claimant"), appeared Edward W. Russey, III, Esq. of the firm Oswald and Yap, Irvine, CA. Respondent, Thomas F. White & Company, Inc., "(Respondent"), appeared through its in-house counsel Michael Bolgatz, Esq. San Francisco,

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-01372 Stuart Ray Gardner, (Claimant) vs. Scott & Stringfellow, Inc., (Respondent) ATTORNEYS: For Claimant appeared William O. Hutchinson, Esq., of the firm Kennedy Covington Lobdell & Hiclcman, L.L.P., Charlotte, NC. For Respondent appeared Paul D. Anders, Esq., of the firm LeClair Ryan, Richmond, VA. NATURE OF DISPUTE: Associated Person vs. Member DATE FILED: March 14, 2005 CASE SUM

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Regina Jimenez, Claimant v. Charles Schwab & Co., Inc., Pershing LLC, TD Ameritrade, Inc., Royal Alliance Associates, Inc., Sentra Securities Corporation, Lawrence I. Prozan, Multi-Financial Securities Corporation, Ameritas Acacia Mutual Holding Company, United Pacific Securities, Inc., Jack White & Company, Inc., Keogler, Morgan & Company, Inc., Respondents Case Number: 05-03037

Award NASD Dispute Resolution In tlie Matter of tiie Arbitration Between: Valerie Liu, Cliaries Siiao, and tiie Stiao Revocable Family Trust, Claimants v. Merrill Lyncii, Pierce, Fenner & Smitli Incorporated and Gilbert Fung, Respondents Case Number: 06-03067 Hearing Site: Los Angeles, Califomia Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES For Claimants Valerie Liu, Charies Shao, and the Shao Revocable F

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Names of Claimants Debra Harris H. Scott Harris Case No. 99-05536 Hearing Site: Boca Raton, Florida Names of Respondents Prudential Securities, Inc. Bret Tuckman For Debra Harris and Scott Harris ("Harris") hereinafter collectively referred to as "Claimants": Delmer C. Gowing, Esq., Delray Beach, Florida. For Prudential Securities, Inc. ("Prudential") and Br

NASD REGULATION, INC. AWARD In die Matter of the Arbitiatioo Between Name of Claimants Stephen N. and Priscilla M. Foos 97-00777 Name of Respondents The Harriman Group, Inc. Shane Ferras Stephen Palumbo Ricliard Preisig, Jr. For Claimants Stephen N. and Priscilla M. Foos ("Claimants") appeared Kristen Jones Indermark, Esq., of tiie firai Sutherland, Asbill and Brainan, LLP located in Atlanta, Georgia. Reqiondent The Hairinian Group, Inc.

Award NASD In the Matter of the Arbitration Between: Name of the Claimant Case Number: 00-04464 Thomas A. Simonian Name of the Respondents Hearing Site: Chicago, Illinois Morgan Taylor & Associates, Inc., Jeffrey A. Lefkowitz, Benjamin J. Cohen, John H. Ludeman, Jr., Jeffrey H. Supinsky, David L. Stetson, and Gregory Small REPRESENTATION OF PARTIES Claimant Thomas A. Simonian ("Simonian"): Barry R. Lax, Esq. of the firm Goldstein & DiGio

NASD DISPUTE BESOLUTION AWARD SDJ CASE: 9»^3S10 The Revocable Tmst of Mildred M. Look, Claimant vs. Ri^ymond H. Knnkler and Jamei J. St. Oalr, Jr.. Re^ndents. ATTORNEYS: Claimant appeared Ibniugh Jefbey P. Coleman Esq.. of the Coleman Law Fvm, Clearwater, FL. Respondent, Ri^ymond Kunkler, tppeaxvi Pro Se, Boca Raton, FL. Respondeiu, James J. St. Ciair, dM not respond to tbe Statement of Chdm. DATE nLED: Augmt 2. 1999 ' ~~' CASE SUMMARY: Clai