Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Michael B. Barr, vs. Bank United Securities, Corp. Case Number: 99-03759 Hearing Site: Houston, TX REPRESENTATION OF PARTIES Claimant, Michael B. Barr: pro se. Houston, TX. Respondent, Bank United Securities Corp.: Robert S. DuBoise, Esq., Robert S. DuBoise, P.C., Coldspring, TX. CASE INFORMATION Statement of Claim filed on or about: August 16,1999 Claimant, Michae

Award NASD Dispute Resolution In the Matter of the Arisitration Between: Karen L. Tweed, Claimant v. Morgan Stanley DW Inc. n/k/a Morgan Stanley & Co. Incorporated and Dana Allen Martin, Respondents Case Number: 06-05236 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Karen L. Tweed In Propria Persona Lake Forest, Califomia For Respondents: Cal G. G

Award NASD Dispute Resolution In the Matter of the Arisitration Between: Myra P. Sokoi and Stephen P. Sokol, individually and on behalf of the Sokol Family Trust, Claimants v. A.G. Edwards & Sons, Inc., Respondent Case Number: 06-01793 Hearina Site: Los Anaeles. California Nature of the Dispute: Customers v. Member REPRESENTATION OF PARTIES For Claimants: Philip M. Aidikoff, Esq. Aidikoff, Uhl & Bakhtiari Beveriy Hills, California For Respon

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Julian Keippei, Claimant v. Michael R. Klein, Securities America, Inc. and Securities Service Network, Inc., Respondents Michael R. Klein, Counter-Claimant v. Julian Keippei, Counter-Respondent Case Number: 06-03412 Hearina Site: San Francisco. California Nature of the Dispute: Customer v. Associated Person and Members Associated Person v. Customer REPRESENTATION OF PARTIES

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Margo Piscevich, Margo Piscevich IFRA, and Margo Piscevich Profit Sharing Plan, Claimants v. Associated Securities Corp., Patricia F. Meideil, and Laif E. Meidell, Respondents Case Number: 06-02122 Hearing Site: Reno, Nevada Nature of the Dispute: Customers v. Member and Associated Persons REPRESENTATION OF PARTIES For Claimants: Thomas C. Bradley, Esq. Sinai, Schroeder, Moo

Award NASD Dispute Resolution in the Matter of the Arbitration Between: Martin Stevens, Norma Stevens, and United Stevens, Inc. Defined Benefit Plan (Claimants) vs. Lazard Asset Management Securities, LLC and John R. Reese (Respondents) Case Number: 06-04881 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Martin Stevens ("M. Stevens"), Norma Stevens ("N. Stevens"

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 07-00048 Paul Fong (Claimant) vs. Brian J. Hagerman, Chrisfine F. Difilippo and Cathy Wolfe, (Respondents) ATTORNEYS: Claimant appeared pro se, New York, NY. For Respondents Christine F. Difilippo and Cathy Wolfe appeared Elizabeth M. Hill, Esq. of the firm Ulmer Berne LLP, Cleveland, OH. For Respondent Brian J. Hagerman appeared Isaac M. Zucker, Esq., of the firm Law Offices of Isaac M

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 07-00139 Wendy Lynn Eiler-Rolston, (Claimant) vs. David Snyder and RBC Dain Rauscher Inc., (Respondents) ATTORNEYS: Claimant appeared pro se, Los Angeles, CA. For Respondents appeared Abe Lampart, Esq., of the firm Law Offices of Abe Lampart, San Francisco, CA. NATURE OF DISPUTE: Customer v. Member and Associated Person DATE FILED: January 8, 2007 CASE SUMMARY: Claimant alleged that

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Michael A. Esbin (Claimant) vs. Janney Montgomery Scott, inc. and Christopher John Squassi (Respondents) Case Number: 06-01583 Hearing Site: New York. New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Michael A. Esbin hereinafter referred to as "Claimant": Martin Mushkin, Esq., Law Office of Martin Mushkin, LLC, Stamfor

Award NASD Dispute Resolution in the Matter of the Arbitration Between: Banc of America Investment Services, Inc. (Claimant) vs. Sime l\/liocic (Respondent) Case Number: 06-04326 Hearina Site: New York, New York Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Banc of Investment Services, Inc. hereinafter referred to as "Claimant": Ronald Kane, Esq., Kane & Fischer, Ltd., Chicago, IL. Respondent Sime Miocic her