Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 06-04452 SunTrust Investment Services, Inc. SunTrust Bank Names of the Respondents Hearing Site: Atlanta, Georgia Wachovia Securities, LLC Rick Harrison Bonfim Jeffrey M. Rutledge Nature of the Dispute: Member and Non-Member vs. Member and Associated Person. REPRESENTATION OF PARTIES For SunTrust Investment Services, Inc. ("STI") a

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Claimants, Lindsey E. Gross, Jeffrey J. Carson, Todd A. Hawley, David J. Hall, Manuel O. Bordelove, David A. Christy, Gus Christy, Doreen Christy, Sherri M. Christy, Melissa F. Christy, Lawrence Weinberg, Sean Hurwitz, Troy Clogg, and 00-03924 Corey Webber, Southfield, Michigan and Respondents, Fidelity National Capital Investors,

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Gregory A. Hoisted and Willard D. Hoisted vs. Case Number: 06-02946 Hearing Site: Oklahoma City, Oklahoma Names of Respondents Linsco Private Ledger Corporation d/b/a LPL Financial Services, Jamie Head, and The Manufactures Life Insurance Company (USA) d/b/a Manulife Financial NATURE OF THE DISPUTE Customers vs. Member, Associated Person, and N

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Leonard H. Glaus and IMS Securities, Inc. vs. Case Number: 05-03692 Hearing Site: Houston, Texas Names of Respondents Sterling Financial Investment Group, Institutional Capital Management, Inc., Daniel L. Ritz, Jr., Gerald Joseph Pepe, Robert Lee Harvey, and Jerry L. Short NATURE OF THE DISPUTE Associated Person and Member vs. Members and Assoc

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant / Counter-Respondent Prudential Equity Group, LLC vs. Name of Respondent / Counter-Claimant Don M. Smithhart Case Number: 05-05596 Hearing Site: Louisville, Kentucky NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES Prudential Equity Group, LLC ("Claimant" or "Prudential") was represented by David Schmidt, Esq., Lub

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant John R. Shelby vs. Names of Respondents Stifel, Nicolaus & Co., Inc. and Todd Allen Rinderer Case Number: 06-01538 Hearing Site: St. Louis, Missouri NATURE OF THE DISPUTE Customer vs. Member and Associated Person REPRESENTATION OF PARTIES John R. Shelby ("Claimant") was initially represented by Tricia L. Legittino, Esq. and Nicholas P. la

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Kathleen Blake Sullivan vs. Case Number: 06-00374 Hearing Site: Louisville, Kentucky Names of Respondents J.J.B. Milliard, J.W. Lyons, Inc. and Shawn Joseph Ridley NATURE OF THE DISPUTE Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Kathleen Blake Sullivan ("Claimant") was represented by Wesley A. Gersh, Esq., Gersh Law O

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Cathy D. Roper, Claimant v. A.G. Edwards & Sons, Inc., Respondent Case Number. 06-01559 Hearing Site: Los Angeles. California Nature of the Dispute: Customer v. Member REPRESENTATION OF PARTIES For Claimant: John F. Kunath, Jr., Esq. Law Offices of John F. Kunath, Jr. Irvine, California For Respondent: William S. Port, Esq. A.G. Edwards & Sons, Inc. St. Louis, Missou

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Wachovia Securities, LLC, Claimant v. Robert F. Kinsch, Respondent Robert F. Kinsch, Respondent/Counter-Claimant v. Wachovia Securities, LLC, Claimant/Counter-Respondent Case Number: 04-07814 Hearing Site: San Diego, California Nature of the Dispute: Member v. Associated Person Associated Person v. Member REPRESENTATION OF PARTIES For Claimant/Counter-Respondent

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Herbert L. Bircoll and Patricia Bircoll v. Vestax Securities Corp., Steven Jagusch, Steven Jagusch & Associates, and Allianz Life Insurance Co. Case Number: 99-05424 Hearing Site: Southfield, Michigan REPRESENTATION OF PARTIES Claimants, Herbert Bircoll and Patricia Bircoll, hereinafter collectively referred to as "Claimants": Laurence S. Schultz, Esq. Driggers, Schultz & Herb