Award NASD In the Matter of the Arbitration Between: Name of the Claimant Case Number: 99-03281 Bernard H. Butts Consolidated with 99-03887 Names of the Respondents Hearing Site: Boca Raton, FL Birchtree Financial Services, Inc. David C. Wilson In the Matter of the Arbitration Between: Name of the Claimant Case Number: 99-03887 Birchtree Financial Services, Inc. Consolidated with 99-03281 Name of the Respondent Hearing Site: Boca Raton, FL

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Ryan Beck & Company, Inc. (Claimant) vs. Nathaniel B. Ramsey (Respondent) Case Number: 06-01870 Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant Ryan Beck & Company, Inc., hereinafter referred to as "Claimant": Kenneth O'Connor, Esq., Lubiner & Schmidt, Cranford, NJ. Respondent Nathaniel B. Ramsey her

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Eddie G. Reer (Claimant) vs. Edward D. Jones, Co. (Respondent) Case Number: 06-00651 Hearing Site: Cleveland, Ohio Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Eddie G. Reer hereinafter referred to as "Claimant": Helen B. Bloch, Esq., Bellows and Bellows, Chicago, IL. Respondent Edward D. Jones, Co. hereinafter referred to as "Respondent": Denni

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Joseph and John Matusiak (Claimants) v. Morgan Stanley Dean Witter and Randal Feig (Respondents) Case Number: 05-05291 Hearing Site: Newark, New Jersey Nature of the Dispute: Customers vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Joseph and John Matusiak hereinafter collectively referred to as "Claimants": Samuel J. Myles, Esq., Holston, MacDonald, Uzdav

Award NASD Dispute Resolution In the Matter of the Arbitration Between: James Singer, James Singer IRA, and James Singer Corp. (Claimants) vs. C.E. Unterberg Towbin, LLC (Respondent) Case Number: 05-04562 Hearing Site: New York, New York Nature of the Dispute: Associated Person and Customers vs. Member REPRESENTATION OF PARTIES ; Claimants James Singer ("Singer"), James Singer IRA ("Singer IRA"), and James Singer Corp. ("Singer Corp.") hereinaft

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-07321 Mel Lipkin Name of the Respondent Hearing Site: Columbia, South Carolina Prudential Securities Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Mel Lipkin, hereinafter referred to as "Claimant": S. Jahue Moore, Esq., Moore, Taylor & Thomas, P.A., Columbia, South Carolina. For Prudential Securities ("Prud

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-03028 Ellen Gerson Names of the Respondents Hearing Site: Raleigh, North Carolina Scott & Stringfellow, Inc. Amber E. Moring Mark R. French Dean A. Cutliffe Nature of the Dispute: Customer vs. Associated Person and Member. REPRESENTATION OF PARTIES For Ellen Gerson ("Gerson"), hereinafter referred to as "Claimant": Mich

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 OF PARTIE

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Wachovia Securities, LLC, Claimant v. Eddy J. Gutierrez, Respondent Case Number: 06-02267 Hearing Site: San Francisco, California Nature of the Dispute: Member v. Associated Person REPRESENTATION OF PARTIES For Claimant: Timothy N. Will, Esq. Albert & Will, LLP Torrance, California For Respondent: Albert L. Boasberg, Esq. Attorney at Law San Francisco, California

Award NASD Dispute Resolution^ Inc. In the Matter of the Arbitration Between: Nancy Heard (Claimant) vs. Bane One Securities Corporation and Connie Fisk (Respondents). Case Number: 99-03277 Hearing Site: Dallas, Texas REPRESENTATION OF PARTIES Claimant, Nancy Heard, ("Claimant"): Doug Perrin, Esq., Attorney at Law, Arlington, Texas. Respondent, Bane One Securities Corporation and Connie Fisk ("Respondents"): Bernard C. Daley, Esq., New York, New