Award NASD Dispute Resolution In the Matter of the Arbitration Between: Paula Manzetti, Claimant v. TD Waterhouse Investor Services, Inc., Respondent Case Number: 03-08622 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member REPRESENTATION OF PARTIES For Claimant: Michael Ellison, Esq. Smith Ellison & Harraka Irvine, California For Respondent: John Ericson, Esq. Jones, Bell, Abbott, Fleming & Fitzgerald L.L.P.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Joan Jeffrey, Claimant v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney Inc., Respondent Case Number: 06-01388 Hearing Site: San Francisco. California Nature of the Dispute: Customer v. Member REPRESENTATION OF PARTIES For Claimant: Montgomery G. Griffin, Esq. Law Offices of Montgomery G. Griffin Newport Beach, California For Respondent: Hugo A. Hilgendorff,

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Chin Fhay Horng vs. Case Number: 06-01507 Hearing Site: Dallas, Texas Name of Respondent Scottrade, Inc. NATURE OF THE DISPUTE Customer vs. Member REPRESENTATION OF PARTIES Chin Fhay Horng ("Claimant") appeared pro se. Scottrade, Inc. ("Respondent") was represented by Andrew C. Small, Esq., Scottrade, Inc., St. Louis, Missouri. CASE INFOR

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-02264 Cutler Overseas Limited Names of the Respondents Hearing Site: Boca Raton, Florida Deutsche Bank Securities, Inc. Tasin & Company, Inc. James G. Sparacino Christopher V. Ferruzza Salvatore J. Sapienza Nature of the Dispute: Customer vs. Member, Terminated Member and Associated Person. REPRESENTATION OF PARTIES For Cutler

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 05-04906 James F. Holifield Reese H. Walley Billy R. Lucky & Peggy R. Lucky Thomas Glenn Hulbert & Sandra G. Hulbert Reba R Holland-Shotts James C. Kirkpatrick Names of the Respondents Hearing Site: Jackson, Mississippi American General Securities, Inc. Leroy Jack Smith Nature of the Dispute: Customer v. Member and Associated P

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Roy Scheingart, Claimant vs. First Security Van Kasper and David Hoover, Respondents. Case Number: 99-03592 Hearing Site: San Francisco, California REPRESENTATION OF PARTIES Claimant, Roy Scheingart ("Scheingart"), hereinafter referred to as "Claimant": Anthony M. Englese, Esq., San Francisco, California Respondents, First Security Van Kasper ("FSVK") and David Hoover ("Hoover

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 00-01143 George V. Leu and Barbara L. Leu, Claimants vs. Dain Rauscher, Inc., Respondent. ATTORNEYS: Claimants, George V. Leu and Barbara L, Leu, ("Claimants"), appeared Pro Se., Arlington, WA. Respondent, Dain Rauscher, Inc., ("Respondent"), appeared through its Compliance Officer, Ronald L, Tanchin, Minneapolis, MN. DATE FILED: March 15, 2000 CASE SUMMARY: Claimants alleged that

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Stacie R. Craddock, Claimant v. Omnivest, Inc. and Ann Gay Phelps, Respondents Case Number: 06-03399 Hearing Site: Denver, Colorado Nature of the Dispute: Associated Person v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Susan R. Hahn, Esq. Law Offices of Susan R. Hahn Littleton, Colorado For Respondents: Russell K. Bean, Esq. Krys Boyle, P.C.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Daniel L. Stanley, Claimant v. Benson York Group, Inc., Paul G. Caldera, and Michael H. Caldera, Respondents Case Number: 05-06615 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member and Associated Persons REPRESENTATION OF PARTIES For Claimant: For Respondent Benson York Group, Inc. For Respondent Paul G. Caldera: For Respondent Michael H

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 06-03110 Julie M. Bergman, Trustee, the Biering Trust DTD 12/22/87, (Claimant) vs. Linsco/Private Ledger Financial Services, Robert E. Drum and David B. Goldstein, (Respondents) ATTORNEYS: For Claimant appeared Debra Graynom-Daly, Esq., of the firm Debra Graynom-Daly Attorney at Law, San Marino, CA. For Respondents appeared in-house counsel, Brad Jacobs, Boston, MA. NATURE OF DISPUTE: C