Stipulated Award NASD Dispute Resolution In the Matter of Arbitration Between: LEWIS J. UNDERBILL, m, Claimant, v. MARINER FINANCIAL SERVICES, SCOTT PIPER, J. WILL PAULL, CLARK F. COLT ON, WILLIAM GREGG, DENNIS BROWN, ROBERT BOONE, and KENNETH D; WARNICK, Respondents. Case Number: 00-05568 Hearing Site: Detroit, Michigan NATURE OF CASE Customer v. Terminated Member and Associated Persons REPRESENTATION OF PARTIES Claimant

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant David Cikanek vs. Case Number: 06-01868 Hearing Site: Chicago, Illinois Names of Respondents Joseph Stevens & Company, Inc., Kevin P. Brody, Leonard J. Inserra, and Ross S. Inserra NATURE OF THE DISPUTE Customer vs. Member and Associated Persons REPRESENTATION OF PARTIES David Cikanek ("Claimant") was represented by Renan Sugarman, Esq., Rena

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant/Counter-Respondent UBS Financial Services, Inc. vs. Case Number: 06-01563 Hearing Site: Chicago, Illinois Name of Respondent/Counter-Claimant Barry J. Killian NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES UBS Financial Services, Inc. ("Claimant") was represented by James L. Komie, Esq. and Michael T. Roche, Esq., Sc

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Buster Brock, Individually, Buster Brock, as Custodian of his IRA Account, Bernard Collett, Individually, Bernard Collett, as Custodian of his IRA Account, Lester Couch, Individually, Lester Couch, as Custodian of his IRA Account, James M. Hacker, Individually, James M. Hacker, as Custodian of his IRA Account, Isaac Holland, Individually, Isaac Holland

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Morgan Stanley DW, Inc. vs. Case Number: 06-00893 Hearing Site: Pittsburgh, Pennsylvania Name of Respondent Edward L. Stone NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES Morgan Stanley DW, Inc. ("Claimant" or "Morgan Stanley") was represented by Ronald Kane, Esq., Kane & Fischer, Ltd., Chicago, Illinois. Edward

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Robert Lipka (Claimant) v. A.G. Edwards & Sons, Inc., and Arnold Rozany (Respondents) Case Number: 06-03091 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Robert Lipka hereinafter referred to as "Claimant" appeared pro se. Respondents A.G. Edwards & Sons, Inc., ("A.G. Edwar

Award NASD Dispute Resolution, Inc. la the Matter of the Arbitration Between Names of Claimants Jack Thompson, M.D. Edgar Brunson Case No. 99-03577 Name of Respondent CIBC Oppenheimer Corp., a division of CIBC World Markets Corp. REPRESENTATION OF PARTIES For Jack Thompson, M.D. ("Thompson") and Edgar Brunson ("Brunson"), hereinafter collectively referred to as "Claimants": Gerald B. Kline, Esq. of the law firm of Suns Moss Kline & D

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Wanda and Miles Slack (Claimants) vs. Gregory J. Dupee and Wachovia Securities, LLC (Respondents) Case Number: 05-05338 Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Customers vs. Associated Person and Member. REPRESENTATION OF PARTIES Claimants Wanda ("Wanda") and Miles Slack ("Miles") hereinafter collectively referred to as "Claimants": Steven H. Berkowitz, E

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 06-04171 Anita C.W. Chan and Wing F. Lo (Claimants) v. E*Trade Securities LLC (Respondent) ATTORNEYS: Claimants Anita C.W. Chan and Wing F. Lo ("Claimants") appeared pro se, Piano, TX. For Respondent E*Trade Securities LLC ("Respondent") appeared in-house counsel John Bersin, Roseville, CA. NATURE OF DISPUTE: Customer v. Member DATE FILED: September 15, 2006. CASE SUMMARY: Claimants all

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Charles and Francis O'Brien (Claimants) v. Morgan Stanley DW, Inc., Christopher Reid, and Lisa Handy (Respondents) Case Number. 05-06020 Hearing Site: Newark, New Jersey Nature of the Dispute: Customers v. Member and Associated Persons REPRESENTATION OF PARTIES Claimants Charles O'Brien ("C. O'Brien") and Francis O'Brien ("F. O'Brien") hereinafter collectively referred to as "Cl