STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants Andrew D. Kapsalis and Catherine F. Kapsalis and Case Number: 02-00256 Hearing Site: Chicago, Illinois Respondents Re-Direct Securities Corporation and James A. Tesch NATURE OF DISPUTE Customers v. Member and Associated Person REPRESENTATION OF PARTIES Andrew D. Kapsalis and Catherine F. Kapsalis ("Claimants") were represented by Douglas

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Ben L. Severs vs. Case Number: 06-02715 Hearing Site: Dallas, Texas Names of Respondents A. G. Edwards & Sons, Inc., Adam Jamar Bowen, Charles Lane Bowen, Daniel Brandon Arrington, Josephine Colombo, and Brent Burtin NATURE OF THE DISPUTE Customer vs. Member and Associated Persons REPRESENTATION OF PARTIES Ben L. Severs ("Claimant

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Robert H. Soleau Award No. vs. 95-02448 Name of Respondents © National Association of George Vafias Securities Dealers, inc. JlfHanover Sterling & Co. All Rights Reserved REPRESENTATION Claimant, Robert H. Soleau ("Claimant") appeared pro se. For Respondent, George Vafias ("Vafias") David Gehn, Esq., from the office

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 01-07148 Vicki Deitchman Donna Rubin Names of the Respondents Hearing Site: Boca Raton, Florida Eastlake Capital, LLC Bear, Stearns Securities Corp., Inc. Dimitrios Lellos Nature of the Dispute: Customer vs. Member and Non-Member. REPRESENTATION OF PARTIES For Vicki Deitchman and Donna Rubin, hereinafter collectively referred to as

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 04-03141 Lois A. Koons, individually and on behalf of the Estate of Billy R. Koons Jennifer C. Howard Phillip T. Howard Names of the Respondents Hearing Site: Orlando, FL Neel R. Dekle Dekle Financial Group Park Avenue Securities LLC National Financial Services LLC The Guardian Life Insurance Companies of America

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Agbojo Bayo Names of the Respondents D.E. Wine Investments, Inc. Duncan Eric Wine Case Number: 05-04530 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Agbojo Bayo, hereinafter referred to as "Claimant", appeared pro se. For D.E. Wine Investments, Inc. ("Wine Invest

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Carolyn Colvin and Efren Lopez, Claimants v. PaineWebber, Inc., Scott M. Flanagan, Jim Ross, and Mike Davis, Respondents Case Number: 99-03523 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimants Carolyn Colvin and Efren Lopez: Donald B. McNelley, Esq. Law Office of Donald B. McNelley Indian Wells, California For Respondents PaineWebber, In

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant^ David M. Dusseault 94-05176 Name of Respondents) Fidelity Investments Institutional Services CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December 9, 1994 Claimant David M. Dusseault, who appeared Pro Se, alleged mat Respondent Fidelity Investments purchased stocks for Claimant bef

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Ctaimant(s) Sandra Bebchick 94-04893 Name of Respondent(s) Dunhill Equities, Inc. Christopher Esposito John F. Doyle Phillip O. Gullo REPRESENTATION For Claimant Sandra Bebchick: Amanda M. Willis, Esq. of the law firm of Greene and Hoffman, P.C. The Respondent Dunhill Equities, Inc. ("Dunhill") did not appear. The Respondent

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Catherine Danza Award # vs. 94-02770 Name of Respondents Dominion Capitol Corporation Brian D. Schrauger REPRESENTATION For Claimant, Catherine Danza ("Claimant"), John A. Seib, Jr., Esq., from the firm of Busch, Ryan & Seib, located in Dallas, Texas. For Respondent, Dominion Capitol Corporation ("Dominion"), Frederick