AWARD NASD Dispute Resolution In the Matter of the Arbitration Between; Name of Claimant Catherine A. Ferguson vs. Case Number: 06-00126 Hearing Site: Troy, Michigan Name of Respondent A.G. Edwards & Sons. Inc. NATURE OF THE DISPUTE Customer vs. Member REPRESENTATION OF PARTIES Catherine A. Ferguson ("Claimant") was represented by Anthony V. Trogan, Esq., Anthony V. Trogan, P.L.L.C., West Bloomfield, Michigan. A.G. Edwards & Sons

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Surina Piyadasa, Claimant v. Coast Partners Securities, Inc. (now known as Coast Partners Financial Corporation) and Richard A. Sleight, Respondents Case Number: 00-01810 Hearing Site: San Francisco, California Nature of the Dispute: Associated Person v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Paul Smoot, Esq. Anderlini, Finkelstein, Emerick & Sm

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Richard A. Gregory, Luis Bethart, and Fred P. Mazzeo (Claimants) v. Bayard Spector, American First Capital Corp., and Dain Rauscher, Inc. (Respondents) Case Number: 00-01363 Hearing Site: New York, New York Nature of the Dispute: Associated Persons v. Member, Terminated Member, and Associated Person REPRESENTATION OF PARTIES Claimants Richard A. Gregory ("Gregory"), Luis Bethart

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-03323 Zaslow Family Trust, claimant vs.E*Trade Securities, Inc., respondent. ATTORNEYS: For Claimant Zaslow Family Trust ("Claimant"), Arthur S. U Specialists, San Diego, CA. For Respondent E*Trade Securities, Inc. ("Respondent") Analyst, E*Trade Securities, Inc. Menlo Park, CA. Bob Salvador, Senior Compliance ider, Esq., Investors Arbitration DATE

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between John Bojduj and 00-03565 Detroit, Michigan OLDE Discount Corporation Gery Williams, and Brian Poirier REPRESENTATION OF PARTIES John Bojduj ("Claimant"): pro se. Jerome Quinn, Esq., Bloomfield Hills, Michigan, represented Claimant until on or about October 25,2000. Andrew Stottman, Esq., Maddox, Koeller, Hargett & Caruso, Chicago, Illinois, represented Claimant

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between - Beverly Wolfgram, PhD Case No. 00-03306 WMA Securities, Inc.; Brian F. Gilhart; and Gregory J. Kapp Hearing Site- Milwaukee, Wisconsin PFPPKSF1VTATTON HF PARTTFS Claimant Beverly Wolfgram, PhD ("Wolfgram") appeared pro se. Respondents WMA Securities, Inc. ("WMA"); Brian F. Gilhart ("Gilhart"); and Gregory J. Kapp ("Kapp") were represented by Scott G. Thoma

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: The Lucylle G. Thomas Trust, Claimant v. Centex Securities, Inc., Torrey Pines Securities, Lnc. and Jeffrey Wetzel. Respondents Case Number: 00-01295 Hearing Site: San Diego. California REPRESENTATION OF PARTIES For Claimant: For Respondent Centex Securities. Inc. For Respondent Torrey Pines Securities, Inc.: For Respondent Jeffrey Wetzel: Donald B. McN'elley.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name nf Claimant Rita Resnick 92-01344 . Name of Rejppndents Sid Nachinan U.S. Lite Equity Sales Corporation REPRESENTATION For Claimant. Rica Resnick ("Claimant"). Max Rosenbach. Esq.. For Respondents. Sid Nachman ("Nachman") and U.S. Life Equity Sales Corporation ("U.S. Life"). Robert Scandone, Esq.. CASE INFORMATION Statement of

N.A.3.D, AWARD NATIONAL ASSOCIATION OF SECUUTOE8 DEALERS In th* NUtUr of th« AffcitJVtfan Wtbar and Moin, Vtith 924)1306 Hibbtfd Brown & Co. . Inc. For Claimant*, Water and Moin Vtith ("Vdtb"): pro tt. far iUipofldent, KibMrd Brown A Co., Inc. ("Ribbird''): tevw B. Ctroio, B$q. of Hibb&M Brawn * Cv Stttenem of Claim fUed on April 14, 1992. CUlmtnta Sttbrnlwion Acrocmeot si|Md on April 10, 1992. RjMpondent, Hibbt/d'i, Stitmwtof Amwar file

A4ASO PUBLIC N.A.S.D. AKAHD NKTICKhL ASSOdXFXCN OP SBCORITIES DEMURS In the Matter of the Atfcitration Between Arbitration National Aatoctetton of Securttla* Dealers, tae NASD Financial Canter 33 Whitehall Sireet New York, N.Y. 10004 FAX (212) 858-4389 Robert Roy vs. 92-01212 stoekCtcm, inc. Bar daisamt, Robert Roy, Bernard P. Rome, B»q. fron tba law ftm of Qeoxg« & Idedn. Par PMprtvknrn. StockCtoaa, Inc. and Chri