N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE; 99-03108 Sharon B. Osborn, claimant vs. Robert Herman Uzzle, respondent. ATTORNEYS: Claimant Sharon B. Osborn ("Claimant"), appeared Pro Se., Grand Rapids, MI. Respondent, Robert Herman Uzzle, ("Respondent"), appeared Pro Se., Suttons Bay, ML DATE FILED: July?, 1999 CASE SUMMARY: Claimant alleged that Respondent conducted unauthorized trade in her account. Cl

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Jim Shaw, Claimant v. E*Trade Securities, Inc., Respondent Case Number: 00-01076 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: Timothy A. Canning, Esq. Law Office of Timothy A. Canning San Francisco, California For Respondent: Paul S. Chan, Esq. Bird, Marella, Boxer & Wolpert Los Angeles, California CASE INFORMATION Statement

Award NASD Dispute Resolution In the Matter of the Arbitration Between: The Fuller Living Trust, Claimant v. Edward D. Jones & Co. and Scott C. Harris, Respondents Case Number: 05-05396 Hearing Site: San Francisco, California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Timothy A. Canning, Esq. Attorney at Law Novato, California For Respondents: Eric D. Lansverk, Esq. Hillis Clar

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Frederick Guy Hildebrand and Nancy Hildebrand, Claimants v. WM Financial Services, Inc., Washington Mutual, Inc., Winston R. Watson, and Calvin G. Williams, Respondents Case Number: 05-05434 Hearing Site: Los Angeles, California Nature of the Dispute: Customers v. Member, Non-Member, and Associated Persons REPRESENTATION OF PARTIES For Claimants: Thomas A. Schultz, Esq. Kyle

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Petrohawk Energy Corporation, as Successor by Merger to Mission Resources Corporation vs. Case Number: 06-00052 Hearing Site: Houston, Texas Name of Respondent Jefferies & Company, Inc. NATURE OF THE DISPUTE Customer vs. Member REPRESENTATION OF PARTIES Petrohawk Energy Corporation, as Successor by Merger to Mission Resources Corporation ("Cl

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 06-00464 Donald Hill Beverly Ann Hill Name of the Respondent Hearing Site: Tampa, Florida Kim Kantor Nature of the Dispute: Customer vs. Associated Person. REPRESENTATION OF PARTIES For Donald Hill and Beverly Ann Hill, hereinafter collectively referred to as "Claimants": Debra G. Speyer, Esq., Law Offices of Debra G. Speyer, Bala Cynw

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Rathen Mason Case No. 98-04975 Names of Respondents The Prudential Insurance Company of America Donald E. Helms New York Life Insurance Company NYLife Securities, Inc. REPRESENTATION OF PARTIES For Claimant Rathen Mason ("Mason"), hereinafter referred to as "Claimant": X. Michael Frascogna, Esq., James L. Powell, Esq. and Shawnassey Howell, Esq. of

N.A.S.D. AWARD ASSOCBkTICN OP SBCDRZHZS DEAXERS In the Matter of the Arbitration Between NaneofClainent Jean I» OTSD Arbitration Mb. 92-00879 Name of Respondents Sacuritiea Wast, IDC. Daniel R. Lioon For Claimant: Richard Sacks Respondent: fiKamuw x,. McBougald - KMM! YOUD? 6 Sbatavnt of Claim filed: Hfecth 12, 1992 Claimant's Submission Agxeenett signed cos February 18, 1992 Statement of Anawer filed by faapondent, Seotiritiea M

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimantf s^ Gertrude Hoffman, as Trustee for the Ira Hoffman Revocable Trust and as Trustee for the Gertrude Hoffman Revocable Trust Case No. 92-00877 Name of Respondentfs) Gruntal & Co., Inc. The GMS Group, Inc. Jerome J. Solomon For Claimant, Gertrude Hoffman as Trustee for the Ira Hoffman and Gertrude Hoffman Revocable Trust

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Comsentech, Inc. and Stephen W. Krajicek 92-00873 Name of Respondents Shearson Lehman Brothers, Inc.; Russell Pagel REPRESENTATION For Claimants: Comsentech, Inc and Stephen W. Krajicek were represented by Stephen W. Krajicek, President of Comsentech, Inc. For Respondents: Shearson Lehman Brothers, Inc. and Russell Pagel w