N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALEBS In the Matter of the Arbitration Between Donnie Esposito vs. 90-03484 Lehnan Hutton, Inc. Bruca Gunter For Claimant: Donnie Espoaito, 1157-D Rroadwey, Alaneda, CA 94501 For Respondent* Sarah E. Lucas f Esq., Ftoosal, Young & Logan, Suite 1500, Four Bnbarcadaro Center, San Francisco, CA 94111 Statement of rinitn filed: Dacenfcer 12, 1990 Claimant's SutniMion FUJI»•• nl signed o

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Cynthia L. Zucaro 94-01669 Name of Respondents Janney Montgomery Scott, Inc. Martin W. Isack -i— CASE SUMMARY i. : 7t. claim fiT< xi vitli the National Association of Securities Dealc^, L»t. on May 4, (994. Qaimar.f Cymhia I... Zucaro, whu appeared Pro Se. aliened that on December j, i992 she coiiu.'ctec to purc

NASd Arbitration N.A.S.D. AWARD NA3TCKRL ASSUL'JATICK OP In the Hatter of the Arbitration Between Name of daimernf B Donald and Alice Wiles v. Brothers, Inc. National AMOcttlMt of Sttwttiw Metat, inc. NASD Financial Canttr 33 Whitehall Stre«t New York, New York 10C * 90-03473 For Claimants: Pro se. For Respondent: Paul William", Esq. of Schurtoach, Williams & Pavcne. Statement of filed: Deceaber 07, 1390.

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Dean Witter Reynolds, Inc. Claimant vs. Precious Metals Mining Consultants and J.C. Rebenstorf, III Respondents AWARD Case #90-03479 CASE SUMMARY Dean Witter Reynolds, Inc. represented by Dominick J. Dorata, New York, NY, in a claim filed with the National Association of Securities Dealers, Inc. on December 12, 1990, alleged that Respondents

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants David N. Doerflein, David N. Doerflein Trust, and Lee Roy H. Doerflein vs. Case Number: 04-00326 Hearing Site: Indianapolis, Indiana Names of Respondents Prudential Investment Management Services, Inc. and Pruco Securities, LLC NATURE OF THE DISPUTE Customers vs. Members REPRESENTATION OF PARTIES David N. Doerflein, David N. Doerflein Trust

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant / Counter-Respondent A.G. Edwards & Sons, Inc. vs. Case Number: 06-01561 Hearing Site: Minneapolis, Minnesota Name of Respondent / Counter-Claimant Robert P. Wardin NATURE OF THE DISPUTE Member vs. Customer REPRESENTATION OF PARTIES A.G. Edwards & Sons, Inc. ("Claimant" or "AGE") was represented by Brent J. Burtin, Esq., A.G. Edwards & Sons, Inc.

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Mary Campbell, Individually and as Trustee of the Mary Campbell Trust, Katherine Caradori, Individually and as Trustee for the Katherine Caradori Trust vs. Names of Respondents American Express Financial Advisors n/k/a Ameriprise Financial Services, David L. Stinnett, and Gerald Denney Case Number: 05-03008 Hearing Site: Omaha, Nebraska

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Wachovia Securities, LLC, Claimant v. David R. Klenske, Respondent David R. Klenske, Counter-Claimant v. Wachovia Securities, LLC, Counter- Respondent Case Number: 06-00110 Hearing Site: San Diego. California Nature of the Dispute: Member v. Associated Person Associated Person v. Member REPRESENTATION OF PARTIES For Claimant/Counter-Respondent Wachovia Securit

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: GarJen V. Jungers, IRA, Garlen lungers, Clarice Jungers, and Lucille lungers, (Claimants) v. First Allied Securities, Inc. and Raymond H. Beliveau, (Respondents) Case Number: 00-01150 Hearing Site: Chicago, Illinois REPRESENTATION OF PARTIES Claimant Garlen V. Jungers, IRA, Garlen Jungers, Clarice Jungers, and Lucille Jungers ("lungers"), hereinafter collectively referred

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Craig Power and Patricia Power, Joint Tenants, Claimants v. Advest, Inc. Respondents Case Number: 00-00128 Hearing Site: Houston. Texas REPRESENTATION OF PARTIES Claimants, Craig Power and Patricia Power, Joint Tenants, Claimants, hereinafter collectively referred to as ("Claimants") were represented by Craig E. Power. Esq. of Cokinos. Bosien & Young, Houston. Texas. R