Award NASD Dispute Resolution In the Matter of the Arbitration Between: KCI, Inc. (Claimant) vs. UBS Financial Services, Inc. f/k/a UBS PaineWebber, Inc., and Michael Greenstone (Respondents) Case Number: 06-03821 Hearing Site: Newark, New Jersey Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant KCI, Inc. hereinafter referred to as "Claimant": Ranan Wischler, Esq., Wischler and Gobetz, Suffern, New

Award NASD Dispute Resolution in the Matter of the Arbitration Between: Charles Bonsignore (Claimant) v. Penson Financial Services, Inc., and Parker Financial Corp. (Respondents) Case Number: 06-03886 Hearing Site: New York, New York Nature of the Dispute: Customer v. Members REPRESENTATION OF PARTIES Claimant Charles Bonsignore hereinafter referred to as "Claimant": Martin P. Unger, Esq., Certilman Balin Alder & Hyman LLP, New York, NY. Respond

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-03081 UBS Financial Services, Inc. Name of the Respondent Hearing Site: Boca Raton, Florida Scott David Huffman Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For UBS Financial Services, Inc., hereinafter referred to as "Claimant": Lauren H. Lezak, Esq., Riker Danzig Scherer Hyland Perretti LLP,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-03722 Virginia H. Perholtz Name of Respondent Hearing Site: Boca Raton, Florida Wachovia Securities, L.L.C. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Virginia H. Perholtz, hereinafter referred to as "Claimant": Ronald J. Perholtz, Personal Representative, Jupiter, Florida. For Wachovia Securities, L.L.C

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Gerald Lee Keding and Sandra Keding vs. Names of Respondents H&R Block Financial Advisors, Inc. and Chris Martin Case Number: 03-09051 Hearing Site: Southfield, Michigan NATURE OF THE DISPUTE Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Gerald Lee Keding and Sandra Keding ("Claimants") were represented by Charles M.

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Charlie E. Brown, Jr., Individually and on behalf of Charlie E. Brown IRA, Sheila R. Brown, Individually and on behalf of Sheila R. Brown IRA vs. Case Number: 05-02830 Hearing Site: Charleston, West Virginia Name of Respondent/Third-Partv Claimant Signator Investors, Inc. vs. Name of Third-Party Respondent Michael Allen Melrose NATURE O

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Gale French (Claimant) v. Morgan Stanley DW, Inc. (Respondent) Case Number: 04-01952 Hearing Site: Boston, Massachusetts Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Gale French hereinafter referred to as "Claimant": Howard M. Rosenfield, Esq., Farmington, CT. Respondent Morgan Stanley DW, Inc. hereinafter referred to as "Respondent": James S.

Revised Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the riaimant Estate of Constance J. Hill, Robert G. Hill, Jr., Executor Names nf the Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. Scott Lee Hoffman Case Number 04-02981 Hearing Site- Philadelphia, Pennsylvania Nature of the Dispute: Customer vs. Member and Associated Person. RF.PRF.SF.NTATTON OF PARTTFS Claimant,

Amended Award NASD Dispute Resolution In the Matter of the Arbitration Between: Richard M. Barney, Jr. and Barbara J. Barney, Claimants v. Peter Wesson Cline and Raymond James Financial Services, Inc., Respondents Case Number: 04-07815 Hearing Site: Seattle, Washington Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES For Claimants: John Bender, Esq. Ryan, Swanson & Cleveland, PLLC Seattle, Washington

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Miriam E. Pipes and Case Number: 03-07872 Hearing Site: Detroit, Michigan Names of Respondents Comerica Securities, Inc. and Dan I. Barish NATURE OF DISPUTE Customer v. Member and Associated Person REPRESENTATION OF PARTIES Miriam E. Pipes ("Claimant") was represented by Anthony V. Trogan, Esq., and Lysa Postula-Stein, Esq., Anthony