Award NASD Dispute Resolution In the Matter of the Arbitration Between: Joan Pemberton (Claimant) v. Prudential Equity Group, LLC, and Wachovia Securities, LLC (Respondents) Case Number: 06-02491 Hearing Site: Newark, New Jersey Nature of the Dispute: Customer vs. Members. REPRESENTATION OF PARTIES Claimant Joan Pemberton, hereinafter referred to as "Claimant": George W. C. McCarter, Esq., McCarter& Higgins, Red Bank, NJ. Respondents Prudential

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Janet G. Sawyer and Rebecca L. Sawyer, Claimants v. RBC Dain Rauscher Inc. and John J. Lainson, Jr., Respondents Case Number: 06-00389 Hearing Site: Denver, Colorado Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES For Claimants: John P. Glenn, Esq. John Glenn & Associates Colorado Springs, Colorado For Respondents: Ju

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Dirk Fulton and The Fultin Family Trust U/A DTD 2/12/92, Claimants v. A.G. Edwards & Sons, Inc., Respondent Case Number: 06-00015 Hearing Site: San Francisco, California Nature of the Dispute: Customers v. Member REPRESENTATION OF PARTIES For Claimants: James Jay Seltzer, Esq. Timothy Murphy, Esq. Law Offices of James Jay Seltzer Emeryville, California For Respondent

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Jaime M. De Prieto, Claimant v. Bane of America Investment Services, Inc., Respondent Case Number: 05-05845 Hearing Site: San Diego, California Nature of the Dispute: Associated Person v. Member REPRESENTATION OF PARTIES For Claimant: Jaime M. De Prieto ProSe La Jolla, California For Respondent: John M. LeCrone, Esq. Bruce G. McCarthy, Esq. Davis Wright Tremaine,

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 05-06409 Jimmy Davis Names of the Respondents Hearing Site: Columbia, South Carolina Vertical Capital Partners, Inc. John Vincent Genna, Jr. Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Jimmy Davis ("Davis"), hereinafter referred to as "Claimant": Edward J. Dovin, Esq., Dovin Malk

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Kashan Linn Kirk vs. Case Number: 06-04293 Hearing Site: Chicago, Illinois Name of Respondent Howe Barnes Investments, Inc., n/k/a Howe Barnes Hoefer & Arnett, Inc. NATURE OF THE DISPUTE Associated Person vs. Member REPRESENTATION OF PARTIES Kashan Linn Kirk ("Claimant") appeared pro se. Howe Barnes Investments, Inc., n/k/a Howe Barnes Hoefer

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Davis Investments III, L.P., Davis Investments IV, L.P. and Christopher Davis Charitable Remainder Unitrust vs. Case Number: 03-03884 Hearing Site: Kansas City, Missouri Names of Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. and Donald J. LaPiana NATURE OF THE DISPUTE Customers vs. Member and Associated Person REPRESENT

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimants William and Karen Ganey vs. Case Number: 05-06385 Hearing Site: St. Louis, Missouri Name of Respondent Merrill Lynch, Pierce, Fenner & Smith Incorporated NATURE OF THE DISPUTE Customers vs. Member REPRESENTATION OF PARTIES William and Karen Ganey ("Claimants") were represented by Bruce D. Oakes, Esq., SimmonsCooper, LLC, East Alton, Illinois.

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant RBC Dain Rauscher, Inc. vs. Case Number: 05-05443 Hearing Site: Chicago, Illinois Name of Respondent Terren Berg NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES RBC Dain Rauscher, Inc. ("Claimant" or "RBC") was represented by Michael L. Hahn, Esq., Bellinger, Ruberry & Garvey, Chicago, Illinois. Terren Berg ("Resp

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Southwest Securities, Inc., Claimant v. Virgil L. Smith, Respondent Virgil L. Smith, Counter-Claimant v. Southwest Securities, Inc., Counter-Respondent Case Number: 06-03975 Hearing Site: Dallas, Texas Nature of the Dispute: Member v. Associated Person Nature of the Dispute: Associated Person v. Member REPRESENTATION OF PARTIES For Claimant/Counter-Respondent: Gary S. Kessler, E