Award NASD Dispute Resolution In the Matter of the Arbitration Between: Loren J. Andreo, Jr., (aka Andy J. Andreo, Jr.), Loren J. Andreo, Jr., Custodian for Michelle Andreo, Janet Andreo, Loren J.Andreo, III, Melissa Andreo, and Meghan Andreo (Claimants) v. Cardinal Capital Management, Inc., Anthony Peluso, Brentley Martin, and Peter Glaser (Respondents) Case Number: 06-00668 Hearing Site: Hartford. Connecticut Nature of the Dispute: Customers vs. Membe

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 06-02848 Crystal Scott, (Claimant) vs. McDonald Investments, Inc., (Respondent) ATTORNEYS: For Claimant appeared Jacquenette Corgan of the firm Law Office of Warner Mendenhall, Inc., Akron, OH, 44304. For Respondent appeared Wm. Joseph Baker, Esq., of the firm Giffen Kaminski, LLC, Cleveland, OH. NATURE OF DISPUTE: Associated Person vs. Member DATE FILED: June 12, 2006 CASE SUMMARY

Stipulated Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant SunTrust Securities, Inc. Case No. 99-03079 Name of Respondent Peter A. Foley Name of Third-Party Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. REPRESENTATION OF PARTIES For SunTrust Securities, Inc. ("SunTrust"), hereinafter referred to as "Claimant": R. Hal Meeks, Jr., Esq. of the law firm of PuYsley, Howell, Lowery & Meeks, LLP, A

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 06-02753 David H. Minott & Joyce V. Minott, JTTEN, (Claimants) vs. Gunnallen Financial, Inc. and James Edward Hynes, (Respondents) ATTORNEYS: Claimants appeared pro se, Groton, MA. For Respondent Gunnallen Financial, Inc. appeared Jay Israel, Esq., of the firm Law Offices of Jay Israel, Lindenhurst, NY. For Respondent James Edward Hynes appeared Michael Utilla, Esq., Brooklyn, NY. NATUR

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Richard L. Johns (Claimant) vs. CUNA Brokerage Services, Inc., and Emmor E. Boslet (Respondents) Case Number: 06-00636 Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Richard L. Johns hereinafter referred to as "Claimant": Robert Bleecher, Esq., Pecht & Associates, Mechanicsburg, PA.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Hugh P. McNally (Claimant) v. H&R Block Financial Advisors, Inc. (Respondent) Case Number: 06-00955 Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Hugh P. McNally, hereinafter referred to as "Claimant": J. Matthew Wolfe, Esq., Law Office of Alice W. Ballard, P.C., Philadelphia, PA. Previously repre

N.A.S.D. AWARD ASSOdMICN OP SBGORTHES la the Matter of tbo Arbitration Between Marilyn A. Levy 92-00721 Mama of ReaooQdent(a) Merrill Lynch, Pierce Feoner & Saith Inc Patrick J. Aubry For Claimant: Jane L. Stafford, Esq. of Mitchell, Rristl & ideber, P.O., Kansas City, Missouri. For Respondent: Tbdd A. ZuckBdjeod, Eaq. Aaaiatant Vicai Preoddant and Sanior attornay of Marrill Lynch, PiaEOS, Fanner & g«i«^ f lbc. f MOM York, No

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Mame of Claimanc(s) Holly B. Spencer Case NO. 92-00712 Nape of Respondents) Prudential-Bache Securities Inc. Ken Brown For Claimant, Hotly B. Spencer ("Spencer"): {Catherine Nathan, Esq. of Brandeis, Bernstein & Wasserman. For Respondents, Prudential Securities, Inc. ("Prudential") and Ken Brown ("Brown"): Peter Byer, Esq. of Prudential.

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Herbert J. and Joyce LaHood Claimants vs. Mark H. Field Karl I. Riner Respondents CASE #92-00711 AWARD CASK SCTMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 27, 1992, Herbert J. and Joyce LaHood who appeared Pro Se, alleged that- in May 1988 Claimant Herbert J. LaHood contacted Respondent Mark H.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERSy-INC. In the Matter of the Arbitration Between ~ Qf ciaa Vilsen Salinas and 92-trCflO f Resondents A.G. Edwards & Sons, Inc., William Lane and Jimmy R. Williams Claimant was represented by Charles L. Thoeming, Esq. Dallas, Texas. Respondents were represented by Stephen Sneeringer, Esq. and Rose M. Schindler, Esq. of A.G. Edwards & Sons, Inc., St. Louis, Missouri. CASK INPO