Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: HD Brous & Co., Inc. (Claimant) vs. Alfred Blair Blaikie, III (Respondent) Case Number: 05-05624 Hearing Site: New York, New York Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant HD Brous & Co., Inc. hereinafter referred to as "Claimant": Robert A. Giacovas, Esq. and Spencer Mazyck, Esq., Lazare Potter Giacovas & Kranjac LLP, New

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Eric Zipfel and Neil Zipfel (Claimants) vs. Fifth Third Securities, Inc. (Respondent) Case Number: 05-02520 Hearing Site: Columbus, Ohio Mark Zipfel (Claimant) vs. Fifth Third Securities, Inc. (Respondent) Case Number: 05-04932 Hearing Site: Columbus, Ohio Fifth Third Securities, Inc. (Claimant) vs. Mark Zipfel (Respondent) Case Number: 05-04948 Hearing Site: Columbus, Ohio Natu

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Kathleen Cahill vs. Case Number: 05-06254 Hearing Site: Chicago, Illinois Name of Respondent Morgan Stanley DW, Inc. NATURE OF THE DISPUTE Customer vs. Member REPRESENTATION OF PARTIES Kathleen Cahill ("Claimant") was represented by Sean M. Keane, Esq., Simmons Cooper, LLC, East Alton, Illinois. Morgan Stanley DW, Inc. ("Respondent" or "Morga

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: The Cathryn M. Spurance Trust, Claimant v. A.G. Edwards & Sons., Inc., Tim Cronin and Mark Bernhard, Respondents Case Number: 99-03332 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: Robert A. Uhl, Esq. Aidikoff&Uhl Beverly Hills, California For Respondents: William S. Port, Esq. A.G. Edwards & Sons, Inc. St. Louis, Missouri

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Linda Latcham, Individually, and in Her Capacity as the Executor of the Estates of her parents, Wildo Vander Wilt and Agnes A. Vander Wilt, vs. Names of Respondents U.S. Bancorp Investments, Inc., Jason Lee Kibbee, and Steve C. Hewitt. Case Number: 05-05712 Hearing Site: Des Moines, Iowa NATURE OF THE DISPUTE Customers vs. Me

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Donald E. & Dorris E. Chaney TTEES FBO The Donald E. & Dorris E. Chaney Living Trust DTD 5/6/91, and Dorris Chaney On Behalf of the Dorris E. Chaney IRA, Claimants v. Associated Securities Corp. and Patricia F. Meidell, Respondents Case Number: 05-05935 Hearing Site: San Francisco, California Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES

Amended Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-01992 Overseas Investment Group Names of the Respondents Hearing Site: Boca Raton, Florida Wall Street Electronica, Inc. Herzog, Heine, Geduld, Inc. Carlos Francisco Otalvaro Carlos Noe Otalvaro Nature of the Dispute: Customer vs. Member & Associated Person. REPRESENTATION OF PARTIES For Overseas Investment Group, hereinaf

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-00559 Nancy Bartley Names of the Respondents Hearing Site: Nashville, TN Merrill Lynch, Pierce, Fenner & Smith William Hamilton Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Nancy Bartley, hereinafter referred to as "Claimant": Lynn Williams, Esq. of Woska & Hayes, LLP, Okla

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 05-06734 Norma J. Hecox Revocable Trust, TTEE Norma J. Hecox Names of the Respondents Hearing Site: Little Rock, Arkansas Morgan Stanley DW Inc. Corby Dean Wright Nature of the Dispute: Customer v. Member and Associated Person. REPRESENTATION OF PARTIES For Norma J. Hecox Revocable Trust, TTEE and Norma J. Hecox, hereinafter collec

AWARD NASD DISPUTE RESOLUTION In the Matter of the Arbitration Between: Jerome Schutzer vs. Kevin John Lent Case Number: 06-03476 SITUS: Boca Raton, Florida NATURE OF DISPUTE: Customer vs. Associated Person. REPRESENTATION OF PARTIES For Jerome Schutzer, hereinafter referred to as "Claimant": Robert L. Herskovits, Esq., Gusrae, Kaplan, Bruno & Nusbaum, PLLC, New York, New York. Respondent Kevin John Lent ("Lent") did not enter an appearance in t