AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Mark Cohen and the Estate of Joseph A. Cohen vs. Case Number: 06-03265 Hearing Site: Pittsburgh, Pennsylvania Names of Respondents Wachovia Securities, LLC, Wachovia Corporation, Prudential Equity Group, LLC, and Jack David Adelson NATURE OF THE DISPUTE Customers vs. Members, Non-Member, and Associated Person REPRESENTATION OF PARTIES M

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant/Counter-Respondent SunAmerica Securities, Inc. n/k/a AIG Financial Advisors, Inc. vs. Case Number: 05-04718 Hearing Site: Houston, Texas Name of Respondent/Counter-Claimant/ Third-Party Claimant Guy P. Ridout vs. Names of Third-Party Respondents The Householder Group, Scott Allen Householder, Stephen Horvath, and Todd Bergeron and

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Samia Borchers, Individually, and as Custodian for the Christina Borchers Account, and as Trustee for the Samia Borchers M.D., Inc. Profit Sharing Plan, and the Samia W. Borchers IRA, and William D. Borchers, Individually, and the William D. Borchers IRA (Claimants) vs. First Union Securities, Inc., and Jeffrey Lutz (Respondents) Case Number: 02-05527 Hearing Site: Columbus, Ohio Na

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Thomas M. Marshburn, Jr. (Claimant) vs. M.J. Whitman, Inc., M.J. Whitman Holding Corp., M.J. Whitman, LLC, M.J. Whitman Advisers, Inc., Martin Jacob Whitman, David Michael Barse, and Michael Thomas Carney (Respondents) Case Number: 04-03086 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member, Associated Persons, and Non- Members. REPRESENTATION O

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 06-04951 Westpark Capital, Inc., (Claimant) vs. Edward Vincent Mirabella, (Respondent) ATTORNEYS: For Claimant appeared in-house counsel Anthony Pintsopoulos, Esq., Los Angeles, CA. Respondent did not submit an Answer to the Statement of Claim. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: October 27, 2006 CASE SUMMARY: Claimant alleged that Respondent failed to repay monies ow

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Thomas S. Chen and Eric M. Corrigan (Claimants) v. Bane of America Securities, LLC (Respondent) Case Number: 05-02301 Hearing Site: New York, New York Nature of the Dispute: Associated Persons vs. Member. REPRESENTATION OF PARTIES Claimants Thomas S. Chen ("Chen") and Eric M. Corrigan ("Corrigan") hereinafter collectively referred to as "Claimants": Jonathan Thau, Esq., Luboja &

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Robert L. Smith Case No. 99-03681 Name of Respondents Dalton Kent Securities Group, Inc. Neil Stein REPRESENTATION OF PARTIES Claimant Robert L, Smith ("Smith"), hereinafter also referred to as "Claimant* appeared pro fi£. For Respondents Dalton Kent Securities Group, Inc. ("DaJton") and Neil Stein f Stein"), hereinafter collectively referre

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 07-00315 Karl Mansfield (Claimant) v. OptionsXpress, Inc. (Respondent) ATTORNEYS: Claimant Karl Mansfield appeared pro se, Rotherham, United Kingdom. For Respondent Optionsxpress, Inc. appeared Hillary Victor, Esq., OptionXpress Holdings, Inc., Chicago, IL. NATURE OF DISPUTE: Customer v. Member DATE FILED: January 26, 2007. CASE SUMMARY: Claimant alleged that he was sold the wrong optio

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Dain Rauscher Incorporated and 98-04085 Name of Respondent Del Mar Financial Services, Inc. REPRESENTATION OF PARTIES Dain Rauscher Incorporated ("Claimant") was represented by David M. Fogel, Esq., Dain Rauscher Incorporated, Minneapolis, Minnesota. Del Mar Financial Services, Inc. ("Respondent") did not appear at the hearing.

NATIONAL ASSOCIATION OF SECURITIES DEALERS AWARD In the Matter oi'the Arbitration Between David J. Deluccia, Claimant, v. NASD No. 94-1442 Prudential Securities, Inc. Respondent. Representation For Claimant: James Sullivan, Esq., San Francisco, California For Respondent: Phillip Bosi, Esq. of Gibson, Dunn & Crutcher, Los Angeles, California Case Information Statement of Claim filed: April 8, 1994 Claimant's Submission Agreement signe