NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 06-03636 National Securities Corporation (Claimant) v. Scott Troy (Respondent) ATTORNEYS: For Claimant National Securities Corporation ("Claimant") appeared Michael S. Colombo, StreetWide Asset Recovery Group, Inc., Lyndhurst, NJ. Respondent Scott Troy ("Respondent") did not file a Statement of Answer in this matter. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: August 8, 2006.

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 06-02714 Daniel L Reinoehl, (Claimant) vs. ETrade Securities LLC, (Respondent) ATTORNEYS: Claimant appeared pro se, Custer, Ml. For Respondent appeared in-house counsel John Bersin, Esq., Rancho Cordova, CA. NATURE OF DISPUTE: Customer vs. Member DATE FILED: June 2, 2006 CASE SUMMARY: Claimant alleged that Respondent failed to allow him to exercise his rights to purchase preferred stock

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 06-04154 Richard Trent (Claimant) v. NFB Investment Services Corp. (Respondent) ATTORNEYS: Claimant Richard Trent ("Claimant") appeared pro se, Bellrose, NY. For Respondent NFB Investment Services Corp. ("Respondent") appeared Eric J. Bressler, Esq., Wickham, Bressler, Gordon & Geasa, P.C., Melville, NY. NATURE OF DISPUTE: Customer v. Member DATE FILED: September 14, 2006. CASE SUMMARY

Award NASD Dispute Resolution In the Mattjfcr Of the Arbitration Between; JEFFREY STEVENSON Claimant, v. Case Number: 03-00554 STERLING FINANCIAL INVESTMENTS GROUP, I«C DAVID LORBER AND DQUGLA3FRIEND, . Hearing Site: Chicago. Illinois Respondents. REPRESENTATION OF PARTIES Clafrdnt Jeffrey Stevenson was represented by David Levitt of Hinshaw & Culbertsontof Chicago, Illinois. Respondents, Sterling Financial Investments Group. Inc

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Salomon Smith Barney, Inc., Claimant Vs. Andrew Michel and Margarette Michel, Respondents. Case Number: 99-05650 Hearing Site: Houston, Texas. REPRESENTATION OF PARTIES Thomas D. Cordell, Esq. of the firm Haynes and Boone, LLP, located in Houston, Texas, represented Claimant Salomon Smith Barney, Inc. (f/k/a Smith Barney, Inc.), hereinafter referred to as "

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Shayne D. Rose and Margaret Rose, Everett W. Nichols, U.T. Fitzgerald and Betty Fitzgerald vs. Case Number: 05-02375 Hearing Site: Indianapolis, Indiana Names of Respondents A.G. Edwards & Sons, Inc., John Wesley Ault, and Richard O. Paris, II NATURE OF THE DISPUTE Customers vs. Member and Associated Persons REPRESENTATION OF PARTIES Shayne

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 05-04395 Beatriz Goyanes Names of the Respondents Hearing Site: Boca Raton, Florida Citicorp Investment Services Luis Prieto, Jr. Nature of the Dispute: Customer vs. Member and Associated Person. For Beatriz Goyanes ("Goyanes"), hereinafter referred to as "Claimant": Allan Lerner, Esq., Law Offices of Allan M. Lerner, P.A., Fort L

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Lawrence R. Robinson, Jr. and Marjorie Willie Robinson, Claimants vs. Merrill Lynch, Pierce, Fenner & Smith, Inc. and Scott MacDonald, Respondents. Case Number: 99-03566 Hearing Site: San Francisco, California REPRESENTATION OF PARTIES Claimants, Lawrence R. Robinson, Jr. and Marjorie Willie Robinson, hereinafter referred to as "Claimants": Kevin M. Seibert, Esq., Downey, Bran

AWARD NASD Regulation, Incorporated Office of Dispute Resolution In the Matter of Arbitration Between Samuel Jones and Angela Jones, Claimants, and No. 94-04487 ^Merrill Lynch Pierce Fenner & Smith, Inc., Kemper Securities, Inc., and Richard T. Gray, Respondents. REPRESENTATION OF PARTIES Claimants, Samuel Jones and Angela Jones (hereinafter collectively referred to as "Claimants"X were represented by Timothy O'SulIivan, located in St. Louis

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Gregory S. Meyer and 98-04587 Name of Respondents Everen Securities, Inc., n/k/a First Union Securities, Inc. Stephen Grote REPRESENTATION OF PARTIES Gregory S. Meyer ("Claimant") appeared pro se. Everen Securities, Inc., n/k/a First Union Securities, Inc. ("Respondent Everen") and Stephen Grote ("Respondent Grote")(collectivelyas "Respondents") were re