Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Merrill Lynch, Pierce, Fenner & Smith Incorporated Advest, Inc. Name of the Respondent John G. Chanda Case Number: 06-02277 Hearing Site: Boca Raton, Florida Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Merrill Lynch, Pierce, Fenner & Smith Incorporated ("Merrill") and Advest, Inc. ("Advest"), hereinaft

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Paul G. Rochmis, M.D. Paul G. Rochmis, M.D. Ltd., Employees Profit Sharing Plan Names of the Respondents Citigroup, Inc. Citigroup Global Markets, Inc. Salomon Smith Barney Donald A. Caron, Jr. Case Number: 04-01327 Hearing Site: Washington, D.C. Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTA

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-01944 Phillip Senderowitz Name of the Respondent Hearing Site: Orlando, FL Suntrust Investment Services, Inc. Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES For Phillip Senderowitz, hereinafter referred to as "Claimant": Brian D. Buckstein, Esq., Dobin & Jenks, LLP, Jupiter, FL. For Suntrust Investment

AWARD NASD DISPUTE RESOLUTION In the Matter of the Arbitration Between: Wachovia Securities, LLC vs. Robert Blauvelt Case Number: 06-02870 SITUS: Atlanta, Georgia NATURE OF DISPUTE: Member vs. Associated Person. REPRESENTATION OF PARTIES: For Wachovia Securities, LLC, hereinafter referred to as "Claimant": Gregory S. Tendrich, Esq., Gregory Tendrich, P.A., Boca Raton, Florida. For Robert Wayne Blauvelt, hereinafter referred to as "Respondent": J

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-02472 Sergio Antonio Mesa Name of the Respondent Hearing Site: Boca Raton, Florida PFIC Securities Corporation Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES For Sergio Antonio Mesa, hereinafter referred to as "Claimant": John C. Hamlin, Esq., John C. Hamlin, P.A., Sunrise, Florida. For PFIC

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 05-03607 Samuel Saunders Annette N. Saunders Samuel Saunders and Annette Saunders JTWROS Name of the Respondent Hearing Site: Boca Raton, Florida Merrill Lynch, Pierce, Fenner& Smith, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Samuel Saunders, Annette N. Saunders and Samuel Saunders and Annette Saund

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 99-03688 Gordon Pringle, claimant vs. Charles Schwab & Co., Inc., respondent. ATTORNEYS: Claimant, Gordon Pringle ("Claimant"), appeared Pro Se., Greenbrae, CA. For Respondent Charles Schwab & Co., Inc. ("Respondent"), appeared in-house counsel Steve Murphy, Esq., San Francisco, CA. DATE FILED: August 11, 1999 CASE SUMMARY: Claimant alleged that he purchased 500 shares (Long) of Books

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-04886 Michael Kanner Name of the Respondent Hearing Site: Boca Raton, Florida Jeanette Glynn Nature of the Dispute: Associated Person vs. Customer. REPRESENTATION OF PARTIES For Michael Kanner, hereinafter referred to as "Claimant": Kent B. Frazer, Esq., Boose Casey Ciklin Lubitz Martens McBane & O'Connell, West Palm Beach, Florida. J

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-02788 RBC Dain Rauscher, Inc. vs. Name of the Respondent Hearing Site: Memphis, Tennessee Lawrence George Meding, Jr. Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For RBC Dain Rauscher, Inc. ("RBC"), hereinafter referred to as "Claimant": Carolyn Guy, Esq., Senior Associate General Counsel, RBC Dain R

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-01847 Charles T. Deering Name of the Respondent Hearing Site: Raleigh, NC GunnAllen Financial, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Charles T. Deering, hereinafter referred to as "Claimant": Andrew O. Whiteman, Esq., Hartzell & Whiteman, L.L.P., Raleigh, NC. For GunnAllen Financial, Inc. ("Gun