Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Raymond, James & Associates, Inc. Case No. 99-03738 Name of Respondent William Franklin Hague REPRESENTATION OF PARTIES Raymond, James & Associates, Inc. ("RJA"K hereinafter referred to as "Claimant": Deborah J. Howard, Associate Corporate Counsel, RJA, St. Petersburg, Florida. ••• ^ 1 William Franklin Hague, hereinafter referred to as "Respondent";

stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Laidlaw & Company (UK) LTD. (Claimant) v. Frank Mazzola, Maya Lawler, Jared Carmel, and Brett Jacobson (Respondents) v. John D. Telfer (Third-Party Respondent) Case Number: 06-02607 Hearing Site: New York, New York Nature of the Dispute: Initial Claim: Member vs. Associated Persons Third Party Claim: Associated Persons vs. Associated Person. REPRESENTATION OF PARTIES

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 06-04529 Ralph A. Jordan (Claimant) vs. Fidelity Brokerage Services LLC and Fidelity Securities & Investment Co., Inc. (Respondents) ATTORNEYS: Claimant Ralph A. Jordan appeared pro se, Atianta, GA. For Respondents Fidelity Brokerage Services LLC and Fidelity Securities & Investment Co., Inc. appeared Melissa Hegger Shea, Esq., in-house counsel of Fidelity Srokerage Services LLC, Boston, MA

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 06-04990 5740 Incorporated (Claimant) vs. Ameritrade, Inc. (Respondent) ATTORNEYS: For Claimant 5740 Incorporated ("Claimant") appeared Ricardo Escalente, Belize City, Belize. For Respondent Ameritrade, Inc. ("Respondent") appeared James J. Vihstadt, TD Ameritrade, Bellevue, NE. NATURE OF DISPUTE: Customer v. Member DATE FILED: November 16, 2006 CASE SUMMARY: Claimant alleged breach

stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Sabah R. Ibrahim and f^/laie Ibrahim (Claimants) vs. Merrill Lynch, Pierce Fenner & Smith, Inc., Richard Sakai, Timothy J. O'Connell, and Michael Mahaffy, Jr. (Respondents) Case Number: 05-06073 Hearing Site: New Yorl< , New York Nature of the Dispute: Customers vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimants Sabah R. Ibrahim and Male Ibrahim her

Amended Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant William J. Stahl Names of the Respondents Merrill Lynch, Pierce Fenner & Smith incorporated Robert A. Schwarz Larry N. Ovnicek Case Number: 03-02964 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES For William J. Stahl, hereinafter referred to a

Award NASD Dispute Resolution In the Matter of the Arbitration Between: John Patrick Dohm II. Claimant v. Morgan Stanley DW Inc.. Respondent Case Number: 06-03726 Hearing Site: San Diego, California Nature of the Dispute: Associated Person vs. Member REPRESENTATION OF PARTIES For Claimant: Alex R. Thiersch, Esq. Chicago, Illinois For Respondent: Tracy L. Geriaer, Esq. Greenberg Traurig, P.A. West Palm Beach, Florida CASE INFORMATION

Award NASD Dispute Resolution In the Matter of the Arbitration Between: James S. Dale, Claimant v. Citigroup Global Markets, Inc., Russell A. Stark, Rosemary G. Francavilla, Luis J. Cordero, Matthew D. Cardone, James G. Dariing, and Christopher Lazzaro, Respondents Case Number: 06-04005 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member and Associated Persons REPRESENTATION OF PARTIES For Claimant: James S. Dale In P

Award NASD Dispute Resolution In the Matter of the Arisitration Between: John A. Guiles and Humberto Barron, Jr., Claimants v. Morgan Stanley Dean Witter On- Line a/k/a Discover Brokerage Direct n/k/a Morgan Stanley DW Inc., Respondent Morgan Stanley Dean Witter On-Line a/k/a Discover Brokerage Direct n/k/a Morgan Stanley DW Inc., Counter-Claimant v. John A. Guiles and Humberto Banx)n. Jr.. Counter-Respondents Case Number: 03-03098 Hearing Site: San Die

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Raymond, James & Associates, Inc. (Claimant) v. Keith Adams (Respondent). Case Number: 99-03737 Hearing Site: Houston, Texas. REPRESENTATION OF PARTIES Claimant, Raymond, James & Associates, Inc. ("James"): Linda Brooks, Esq. of the firm Ogden, Gibson, White & Brooks, L.L.P.: Houston, Texas. Respondent, Keith Adams ("Adams ") of Austin, Texas represented himself. CASE