Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Thomas Di Giammatteo, Claimant and Counter-Respondent v. Waterhouse Securities, Inc., Respondent and Counter-Claimant Case Number: 99-02993 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: William W. Bloch, Esq. William Bloch & Associates LLP Beverly Hills, California For Respondent: Cameron Stout, Esq. Keesal, Young & Logan San Fra

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-00881 Sandra Hernandez-Pineda Natalia Blandon Names of the Respondents Hearing Site: Boca Raton, Florida Prudential Securities, Inc. Santiago Copello Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Sandra Hernandez-Pineda and Natalia Blandon., hereinafter referred to as "Cla

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-05008 Robert McLeod Name of the Respondent Hearing Site: Tampa, Florida Deutsche Bank Securities, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Robert McLeod ("McLeod"), hereinafter referred to as "Claimant": William Isenberg, Esq., Law Offices of William S. Isenberg & Associates, Ft. Lauderdale, Florida.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 05-05644 Barbara Stroup, individually and on behalf of her IRA Names of the Respondents Hearing Site: Orlando, Florida Edward D. Jones & Co. L.P. Thomas Frank Belvin Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Barbara Stroup, individually and on behalf of her IRA, hereinafter referr

Award NASD Dispute Resolution In the Matter of the Arbitration Between: John J. Flynn, Patricia Rosemary Flynn and Clairvoyant Capital, LLC (Claimants) vs. US Clearing Corp., Quick and Reilly, Inc. n/k/a Bane of America Investment Services, Brookstreet Securities Corp., NF Clearing, Inc. f/k/a Fiserv Securities, Inc., Fleet Securities, Inc., Greenwich Global LLC, Geoffrey Hammel, Leslie Quick III, Charles LaBella, Brian T. Moynihan, James Manning, Sound Fin

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-01680 Patsy L. Coleman, Individually and as Trustee Names of the Respondents Hearing Site: Orlando, Florida Joel Carl Pearson Morgan Stanley Dean Witter Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Patsy L. Coleman, Individually and as Trustee, hereinafter referred to as "Claimant":

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Royce A. Bennett and 03-01407 Omaha, Nebraska Name of Respondents Royal Alliance Associates, Inc. Gerald L. Tagge Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Royce A. Bennett ("Claimant") was represented by Rodney K. Vincent, Esq., Vincent Law Offices, Lincoln, Nebraska. Royal Alliance Associates,

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Ronald R. Partridge, Claimant v. Wachovia Securities, Inc. and Anthony E. Cameron, Respondents Case Number: 03-01354 Hearing Site: San Francisco, California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: John W. Barnes, Esq. Attorney at Law San Rafael, California For Respondents: Michael J. Abbott, Esq.

Stipulated Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Nancy and Gene Wayne Yee, (Claimants) vs. Charles Schwab & Company, Inc. and Man Wan (Tony) Chiu, (Respondents) Case Number: 99-02989 Hearing Site: New York City, New York REPRESENTATION OF PARTIES Claimants, Nancy Yee ("N. Yee") and Gene Yee ("G. Yee"), hereinafter collectively referred to as "Claimants", appeared pro se. Respondents, Charles Schwab & Company, Inc. ("S

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Robin Michele Rushing, Claimant v. La Jolla Capital Corporation (aka Pacific Cortez Securities) and Harold Bailey "BJ" Gallison Jr., Respondents Case Number: 99-02016 Hearing Site: San Diego. California REPRESENTATION OF PARTIES For Claimant: Robin Michele Rushing In Pro Per Spokane, Washington CASE INFORMATION Statement of Claim filed: April 29, 1999 Claimant's Unifor