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 Mike Crosswhite, individually and doing business as Deforest Sales Co. vs. Case Number: 04-06383 Hearing Site: Dallas, Texas Names of Respondents Edward D. Jones & Co., Craig Webb Mills, William Louis Roach, and Teddy Jack Kelley, II NATURE OF THE DISPUTE Customer vs. Member and Associated Persons REPRESENTATION OF PARTIES Mike Crossw

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 99-03551 Kirby Trumbo and Sandra Trumbo, claimants vs. Lindsey C. Riley, respondent. ATTORNEYS: Claimants appeared Pro Se., Henderson, NV. Respondent appeared Pro Se., Costa Mesa, CA. DATE FILED: August 3, 1999 CASE SUMMARY: Claimants alleged that respondent urged them to sell their positions in Solopoint, Inc. and International Computex stock and to purchase Tera Computer. Claimants

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-06007 Terressa Hatchett Names of the Respondents Hearing Site: Washington, D.C. Legacy Financial Services, Inc. Joseph R. Karsner, IV Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Terressa Hatchett, hereinafter referred to as "Claimant": William B. Young, Esq., Cooling, Gilb

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Laura Haughie Names of Respondents Dreyfus Service Corporation Shawn Kelley Case Number: 05-00032 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Laura Haughie, hereinafter referred to as "Claimant": Alan J. Foxman, Esq., Alan J. Foxman, P.A., Boca Ra

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number. 06-01435 Marie Douglas Name of the Respondent Hearing Site: Tampa, Florida Morgan Stanley DW, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Marie Douglas, hereinafter referred to as "Claimant": J. Benton Stewart, II, Esq., Stewart Law, P.L.L.C., Tampa, Florida. For Morgan Stanley DW, Inc. ("MSWD"), herein

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-02784 Wachovia Securities, L.L.C. Name of the Respondent Hearing Site: Charlotte, North Carolina Jack A. Frahmann Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Wachovia Securities, L.L.C. ("Wachovia"), hereinafter referred to as "Claimant": Ryan P. Smith, Esq., Wachovia Securities, L.L.C., Richmond, Vi

AWARD NASD DISPUTE RESOLUTION In the Matter of the Arbitration Between: Robert A. Wadden, Beverly M. Wadden, and Mark W. Wadden vs. Michael Andre Jones Case Number: 06-02978 SITUS: Washington, D.C. NATURE OF DISPUTE: Customer vs. Associated Person REPRESENTATION OF PARTIES Robert A. Wadden, Beverly M. Wadden, and Mark W. Wadden, hereinafter collectively referred to as "Claimants", appeared pro se. Michael Andre Jones, hereinafter referred to as

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 06-03949 Jerry B. Wallack, (Claimant) vs. Fidelity Brokerage Securities LLC and Srbo Radisavljevic, (Respondents) ATTORNEYS: " ~ " ~~~ Claimant appeared pro se, Evanston, IL. For Respondents appeared in-house counsel Melissa Megger Shea, Esq., Boston, MA. NATURE OF DISPUTE: Customer v. Member and Associated Person DATE FILED: August 29, 2006 CASE SUMMARY: Claimant alleged that Responden

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Gary Strauss (Claimant) v. Quick & Reilly, Inc. (Respondent) v. U.S. Clearing n/k/a ADP Clearing and Outsourcing Services, Inc. (Third-Party Respondent) Case Number: 05-01326 Hearing Site: New York, New York Nature of the Dispute Initial Claim: Customer vs. Member. Third-Party Claim: Member vs. Member. REPRESENTATION OF PARTIES Claimant Gary Strauss, hereinafter referred to