Award NASD Dispute Resolution In the Matter of the Arbitration Between: Kenneth W. McDonald and Paillette McDonald (Claimants) v. William C. Piontek, Morgan Stanley Dean Witter & Co., D.E. Frey & Co., Dale E. Frey, Kimberlee D. Cornelius, John F. Owens, Michele A. Desilets, and PaineWebber, Inc. (Respondents) Case Number: 99-03371 Hearing Site: New York, NY Nature of the Dispute: Customers vs. Members and Associated Persons REPRESENTATION OF PARTIES

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 06-03537 James 0. Sturniolo, (Claimant) vs. A.G. Edwards & Sons, Inc. and Gregory Matzelle, (Respondents) ATTORNEYS: Claimant appeared pro se, Massapequa, NY. For Respondents appeared in-house counsel, Brent J. Burtin, Esq., St. Louis, MO. NATURE OF DISPUTE: Customer v. Member and Associated Person DATE FILED: July 28, 2006 CASE SUMMARY: Claimant alleged that Respondents placed him in i

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Marshal D. Gibson (Claimant) vs. UBS Financial Services, Inc., and Karen A. Kurrasch (Respondents) Case Number: 06-00520 Hearing Site: Hartford, Connecticut Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Marshal D. Gibson, Esq., hereinafter referred to as "Claimant" appeared pro se, New Haven, CT. Respondents UBS Financia

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Joseph Collura and Patricia Collura (Claimants) vs. A.G. Edwards & Sons, Inc. and Leonard Mandel (Respondents) Case Number: 05-04544 Hearing Site: Newark, New Jersey Nature of the Dispute: Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Claimants Joseph Collura ("J. Collura") and Patricia Collura ("P. Collura) hereinafter collectively referred to

PUBLIC ArDit ration M.A.S.D. AWARD V ~ ~ ~ ' . National Association of ._---_._.,„ „ .-,_-,..„ - Securities Dealers, inc. ASSOC1ATICN OF SSCUKITIES DEALERS NASD =-anc:ai Cemer _ ^ 13 WfmeP.au Street In the Matter of the Arbitration Between "Jew/cr*. *JY -^cc-i 'AX .212) 035-1332 o£ Clainant Lisa Bosh Gase# vs. 91-01671 Name of Respondents Merrill Lynch Pierce Fenner & Smith Inc G. Gooke For Claumnt

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between of Jill Kligman 94-02741 Name of Respondents Merrill Lynch, Pierce, Fenner & Smith, ..... Joseph Toro Thomas Pristavec Emdadul Kahn REPRESENTATION For claimant Jill Kligman ("claimant"), appeared George V. Cornell in, a sole practitioner located in Staten Island, New York. For respondents Merrill Lynch, Pierce, Fenner & Smith, Inc.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Mume of Claimant Alan Titunik 94-03915 Name of Respondent DESCAP Securities, Inc. REPRESENTATION For Claimant Alan Titunik ("Claimant") appeared George A, Aguilar, Esq. of the law firm of Pitney, Hardin, Kipp & Szuch located in Morristown, New Jersey. For Respondent DESCAP Securities, Inc. ("Respondent") appeared Nina S. Epstein, Esq. of the

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Cantor Fitzgerald Partners 95-02910 Name of Respondent LaSalle National Bank REPRESENTATION For Claimant, Cantor Fitzgerald Partners ("Claimant"), appeared Edward I. Boyle of the law firm Wilson, Elser, Moskowitz, Edelman & Dicker located in New York, New York. For Respondent, LaSalle National Bank ("Respondent"), appeared Dani

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between: MARK J. SEELIG, -and- Claimant. Docket No. 98-04269 STIPULATED AWARD D. H. BLAIR & CO., INC., STEVEN B. ROCK, RICHARD MISH, KALMAN MORRIS RENOV, ALAN STAHLER, RIVKIROSENWALD, ALISON DONNELL BROWN, RICHARD ANTHONY SICHENZIO, WILLIAM BERNARD BADINELLI, JR. And "JOHN DOES" 1-10, Respondents. REPRESENTATION Claimant was represented by M

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Otto Kozak (Claimant) v. Daniel Pyle and Garden City Capital Management, LLC (Respondents) Case Number: 03-05881 Hearing Site: New York, New York Nature of the Dispute: Associated Person v. Associated Person and Non-Member REPRESENTATION OF PARTIES Claimant Otto Kozak hereinafter referred to as "Claimant": Yitka Kozak, Atlantic NY. Previously represented by Richard J. Babnick, J