Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: The Succession of Willard E. Radford, Sr. vs. Prudential Securities, Inc. and John R. Polk Case Number: 99-03486 Hearing Site: Houston, TX REPRESENTATION OF PARTIES Claimant, The Succession of Willard E. Radford, Sr.: Jack G, Wheeler, Esq., Fraser, Morris & Wheeler, Lake Charles, LA. Respondents, Prudential Securities, Inc. and John R. Polk: Frank M. Weber, Esq., Prude

Amended Award NASD Dispute Resolution In the Matter of the Arbitration Between: Dennis M. Nigro, The Dennis M. Nigro Trust, The Dennis & Brenda M. Nigro Living Trust, and Dennis M. Nigro, MD, Inc., Claimants v. Mutual Service Corporation, Charles W. Leitzke, Leonard G. Voisen, and Michael E. Poston, Respondents Case Number: 05-02417 Hearing Site: San Diego, California Nature of the Dispute: Customers v. Member and Associated Persons REPRESENTATION O

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Wachovia Securities, LLC, Claimant v. Patrick R. Kelley, Respondent Case Number: 06-02808 Hearing Site: San Francisco, California Nature of the Dispute: Member v. Associated Person REPRESENTATION OF PARTIES For Claimant: Renan I. Sugarman, Esq. Renan I. Sugarman, P.C. Chicago, Illinois For Respondent: Patrick R. Kelley Sacramento, California CASE INFORMATION Stat

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Michael Szymanski and Beth M. Spatz, Trustees of the Szymanski/Spatz Rev. Trust dated 6/12/97, Claimant v. William A. Svoboda, Steven A. Hild, Morgan C. Becker and Morgan Stanley DW Inc., Respondents Case Number: 04-01831 Hearing Site: San Francisco, California Nature of the Dispute: Customer v. Member and Associated Persons REPRESENTATION OF PARTIES For Claimant: Edw

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Wells Fargo Investments, LLC, Claimant v. Michael A. Piranian, Respondent Case Number: 06-01230 Hearing Site: Los Angeles. California Nature of the Dispute: Member v. Associated Person REPRESENTATION OF PARTIES For Claimant: Ronald Kravitz, Esq. Mai Petersen Klaassen, Esq. Liner Yankelevitz Sunshine & Regenstreif LLP San Francisco, California For Respondent: Michael A. P

N.A.S.D NATIONL ASSOCIATION OF SECURITIS In the Matter of the Arbitration Between Name of Cla O. James Vogi and Fannie Ellen Vogl individually and as Trustees of the Vogl Family Trust Dated July 13, 1990 vs. NASD Arbitration 93-00674 Nffllff n ^ Respondentfg') Prudential Securities, Incoipoiated For Claimant: Robert A. Ubl and Philip D. Aidikoff, Esq., Aidilcoff & Kesluk, Los Angeles, California For Respondent: Patricia Fitzp

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURTTTFS DFAT.FRS. INC. In the matter of the Arbitration Between Name of Claimants R. Bartoo Diang L. Bartoo NASD Arbitration No. 93X50583 Name of Rgsppntignrs D. R. Mayo & Co., Inc. Donald. R Mayo George B. Carpenter RFPRFSFNTATION For Claimant: In Pro Se For Respondent: Wedbush Morgan Securities, Inc. • Wendy A. Rea. Esq. Wedbush Morgan Securities, Inc. For Respondents: D.R. Mayo

N.A.S.P. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant (g^ Adnan Deratani Name o NASD Arbitration No. 93-00389 Eppler , Guer in & Turner , Inc . , Rifat Spahi For Claimant: Adnan Deratani, Sepulveda, California For Respondents: Bruce W. Collins, Esq., Carrington, Coleman, Sloman & Blumenthal, Dallas, Texas CASH Statement of Claim filed: February 1, 1993 Claima

M.A.g n D. AWARD NATIONAL ASSOriATTQW OP SBCTTOTTTRfl nBRT.ttPS,. INC. In the matter of tha Arbitration Between f Claimant: PaineWebber Incorporated NASD Arbitration No. 93-00385 Mame of Respondent's) Craig R. Diraond For Claimant: Judy Louie, Bag., PaineWebber Incorporated, Los Angeles, California For Respondent: Mitchell Cutler Green, Esq., LOB Angeles, California Statement of Claim filed: February 1, 1993 Claimant's Su

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, . In the Matter of the Arbitration Between Name of Claimant Linda Herrman and 93^0353 Name of Respondents A.G. Edwards & Sons, Inc. and Theodore Moore REPRESENTATION OF PARTIES Linda Herrman ("Claimant") appeared pro se. A.G. Edwards & Sons, Inc. ("Edwards") and Theodore Moore ( "Moore "Xcollectively as "Respondents") were represented by Phyllis A. Radovich, Esq. of A.G. Edwards