NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 06-04035 Mary Lou Avis and Paul D. Avis (Claimants) vs. John K. Leach, H.D. Vest Financial Services and Raymond James Financial Services, Inc. (Respondents) ATTORNEYS: Claimants Mary Lou Avis and Paul D. Avis appeared pro se, Deltona, FL. For Respondents John K. Leach and Raymond James Financial Services, Inc., appeared Kelli Bullington, Esq., in-house counsel of Raymond James Financial Ser

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Louisella Jabbour (Claimant) v. Morgan Stanley Dean Witter, Inc., and Gary Moskowitz (Respondents) Case Number: 05-02793 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Louisella Jabbour hereinafter referred to as "Claimant": Richard Slavin, Esq., Cohen & Wolf, P.C., Bridgeport, CT.

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Landaas & Co. vs. Names of Respondents Wachovia Securities, LLC, Laurie Jean Tebon, and Ali Garba and Name of Counter-Claimant Laurie Jean Tebon vs. Name of Counter-Respondent Landaas & Co. and Name of Counter-Claimant Ali Garba vs. Name of Counter-Respondent Landaas & Co. Case Number: 06-00283 Hearing Site: Mi

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Larry L. May, IRA, Larry L. and Georgia Ann May, Sammie L. and Debra McCain, Frankie and Tamara L. Bair, and Delbert W. and Cheryl S. Bair vs. Case Number: 04-06860 Hearing Site: Kansas City, Missouri Names of Respondents Intersecurities, Inc., Gregory James Hildebrand, and Peter E. Dahlstrom NATURE OF THE DISPUTE Customers vs. Member and A

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Connie Calderone vs. Case Number: 05-04999 Hearing Site: Chicago, Illinois Names of Respondents First Midwest Securities, Marco Welch, Steve Patrick Harrington, and Comar, LLC NATURE OF THE DISPUTE Customer vs. Member, Associated Persons, and Non-Member REPRESENTATION OF PARTIES Connie Calderone ("Claimant") appeared pro se. First Midwest Sec

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-03707 Olde Discount Corporation, claimant vs. David H. Hutto, respondent. ATTORNEYS: For Claimant Olde Discount Corporation ("Claimant"), Aaron L. Kleid, Esq., Staff Attorney, Olde Discount Corporation, Detroit, Michigan. Respondent David H. Hutto ("Respondent") did not respond to the Statement of Claim. DATE FILED: 08/12/1999 CASE SUMMARY: Claimant allege

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 00-01156 Judith A. Velci Revocable Trust, claimant vs. Ameritrade, Inc. and Advanced Clearing, Inc., respondents. ATTORNEYS: Claimant appeared Pro Se., La Mirada, CA. Respondent Ameritrade, Inc. appeared through its Regulatory Manager, James J. Vihstadt, Bellevue, NE. Respondent Advanced Clearing, Inc. appeared through its Vice President/Controller, William T. Yates, Omaha, NE.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Susanne Gyorody Names of the Respondents Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. Lawrence Elliot Gordon Peter Leslie Bermont Richard Barry Bermont Janet Franco Case Number: 06-03077 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number. 06-04738 Brenda Betz Name of the Respondent Hearing Site: Tampa, FL Prudential Equity Group, LLC Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Brenda Betz, hereinafter referred to as "Claimant": Curtis Carlson, Esq., Carlson & Lewittes, P.A., Miami, FL. For Prudential Equity Group, LLC ("Prudential"), hereinaf

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant John and Janette Czech Revocable Trust Names of the Respondents Rosenthal Collins Securities, LLC Rosenthal Global Securities, LLC Dean William Urick Kevin Luetje Case Number: 05-00294 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For John and Janette Czech Re