Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Name nf the riaimantq Case NiiTnher- 00-01105 Jonathan M. and Susan M. Gorog Names nf the Anderson & Strudwick Incorporated, Norman K. Marshall and Charles A. Mills, HI Rearing Site- Norfolk, VA PARTTFSi Claimants, Jonathan M. and Susan M. Gorog ("Claimants") were represented by Eric S. Chofhas, Esq. and Celeste McCollough, Esq. of the law firm of Chorey, Taylo

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-03131 Robert M. Churilla Names of the Respondents Hearing Site: Richmond, VA UBS Financial Services, Inc. Anthony Frigoletto Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Robert M. Churilla, hereinafter referred to as "Claimant", appeared pro se. For Respondent UBS Financial Services, Inc.

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Albert L. Walters vs. Case Number: 06-00546 Hearing Site: Kansas City, Missouri Names of Respondents Jo Colombo, Douglas Royle, and Brian T. Wall NATURE OF THE DISPUTE Customer vs. Associated Persons REPRESENTATION OF PARTIES Albert L. Walters ("Claimant") appeared pro se. Jo Colombo ("Colombo"), Douglas Royle ("Royle"), and Brian T. Wall ("Wall"

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Dr. John L. Green and Harriet H. Green, Individually and as Trustees of the John L. Green and Harriet H. Green Living Trust vs. Case Number: 06-000571 Hearing Site: Kansas City, Missouri Names of Respondents Adam S. Bold and The Mutual Fund Store NATURE OF THE DISPUTE Customers vs. Associated Person and Non-Member REPRESENTATION OF PARTIES

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Kim Moorning-Brown, (Claimant) vs. Bear, Stearns & Co., Inc., (Respondent) Case Number: 99-05764 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Kim Moorning-Brown, hereinafter referred to as "Claimant", appeared pro se. Respondent, Bear, Steams & Co., Inc., hereinafter referred to as "Respondent": Izabel P. McDonald, Esq., Kramer Levin Naftalis & Frankel LLP, N

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Lael Desmond, (Claimant) vs. Ameritrade Inc., (Respondent). Case Number:98-04397 Hearing Site: Indianapolis, Indiana REPRESENTATION OF PARTIES Claimant, Lael Desmond ("Desmond"): Mark E. Maddox, Esq. and Jeff Gery Esq., Maddox, Koeller, Hargett & Caruso, Indianapolis, IN. Respondent, Ameritrade Inc. ("Ameritrade"): Patrick B. Griffin, Esq., Kutak Rock, Omaha, NE. CASE INFORMAT

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Harvey Jasny, Claimant v. Morgan Stanley DW Inc., Americo J. Salvetti, III and David W. Lewis, Jr., Respondents Case Number: 05-03919 Hearing Site: San Francisco, California Nature of the Dispute: Customer v. Member and Associated Persons REPRESENTATION OF PARTIES For Claimant: Thomas C. Bradley Sinai, Schroeder, Mooney, Boetsch, Bradley & Pace Reno, Nevada

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Julie Ellen Simmons- Capuder vs. Name of Respondent A.G. Edwards & Sons, Inc. Case Number: 06-01684 Hearing Site: Charleston, West Virginia NATURE OF THE DISPUTE Associated Person vs. Member REPRESENTATION OF PARTIES Julie Ellen Simmons-Capuder ("Simmons-Capuder" or "Claimant") appeared pro se. A.G. Edwards & Sons, Inc. ("Edwards" or "Respond

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 06-03375 Marvin S. and Nina Wetter, (Claimants) vs. Christopher Grey Weighart, (Respondent) ATTORNEYS: Claimants appeared pro se, Cape Charles, VA. For Respondent appeared Joseph Dieckhaus, Esq., of the firm Edgerton, Weaver & Irwin, Minneapolis, MN. NATURE OF DISPUTE: Customers vs. Associated Person DATE FILED: July 17, 2006 CASE SUMMARY: Claimants alleged that Respondent breached his

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 06-03188 Michael R. Evans, (Claimant) vs. BrownCo, LLC and E*Trade Securities LLC, (Respondents) ATTORNEYS: Claimant appeared pro se, Allentown, PA. For Respondent Brownco, LLC appeared in-house counsel Laura Crawford, Boston, MA. For Respondent ETrade Securities LLC appeared in-house counsel John Bersin, Esq., Rancho Cordova, CA. NATURE OF DISPUTE: Customer v. Members DATE FILE