STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Dennis Bruer vs. Case Number: 05-04701 Hearing Site: Milwaukee, Wisconsin Names of Respondents Genworth Financial Securities Corporation, f/k/a Terra Securities Corporation, Hochman & Baker Securities, Inc. and Denis Alan Poffenberger NATURE OF THE DISPUTE Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Denn

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Thomas G. Cain and Patricia Jones Cain, Charles D. Snyder and Marilou Snyder, and Ronald Shall and Jerry L. Shall vs. Case Number: 04-08770 Hearing Site: Dallas, Texas Names of Respondents Securities America, Inc., Robert P. Gormly, Jr., Securities America Advisors, Inc., and The Gormly Company NATURE OF THE DISPUTE Customers vs. Member

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Elizabeth and Charles Gosser vs. Case Number: 00-03131 Hearing Site: Chicago, Illinois Names of Respondents Merrill, Lynch, Pierce, Fenner & Smith, Inc. and Steven K. Porter NATURE OF THE DISPUTE Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Elizabeth and Charles Gosser ("Claimants") were represented by Paul Sussman, Esq.

Amended Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Robert J. Cavalleri Wames of the~RespDndents Edward D. Jones & Co. L.P. d/b/a Edward Jones Thomas Howell, JH Case Number: 04-08280 Hearing Site; BecfrRaten, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Robert J. Cavalleri, hereinafter referred to as "Claimant," appeared pro se.

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Maryam Lyubarksy (Claimant) v. Quick & Reilly, Inc. and Kevin M. Dowd (Respondents) Case Number: 04-08821 Hearing Site: Boston, Massachusetts Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant Maryam Lyubarksy hereinafter referred to as "Claimant": Philip M. Giordano, Esq., Reed & Giordano, P.A., Boston, MA. Respondent

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants Stephen M. Budai and Virginia L. Bellows, Individually and on behalf of their IRAs v. 04-08798 Denver, Colorado Respondents Brookstreet Securities Corporation, Craig L. Freedman, Freedman Financial Group, L.L.C., and Logan Capital Management Nature of Dispute: Customers v. Member, Associated Person and Non-Members REPRESENTATION OF PARTIES Stephe

Amended Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-05120 Arthur and Sylvia Howard Names of the Respondents Hearing Site: Tampa, Florida UBS PaineWebber Inc. Susan Turner Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Arthur and Sylvia Howard, hereinafter collectively referred to as "Claimants": John R. Kiefher, Esq.,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 04-07920 Steven E. Fairchild, as Executor Under the Will of Mary F. Wilder, Deceased, and Wilder Lands, Inc., a Georgia Family Corporation Names of the Respondents Hearing Site: Atlanta, Georgia J.J.B. Milliard, W.L. Lyons, Inc., and Dewitt T. Coppedge, individually Nature of the Dispute: Customer vs. Member and Associated Person. REPR

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Clifford R. Sainsbury, Bonnie K. Sainsbury, Evan Sainsbury, Scott Sainsbury, and Clifford Sainsbury, IRA, Claimants v. Ronald H. Mayfield, Respondent Case Number: 04-07516 Hearing Site: Seattle, Washington Nature of the Dispute: Customers v. Associated Person REPRESENTATION OF PARTIES For Claimants: Charles A. Cleveland, Esq. Law Offices of Charles A. Cleveland, P.S. Spo

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 99-02790 Superchap PTY Limited A.C.N. 078 363 112, claimant vs. Tasin & Company, Inc., respondent vs. Michael DeFelice, third party respondent. ATTORNEYS: Claimant appeared through its Director, H. Chapman, Superchap PTY Limited A.C.N. 078 363 112, Roseville NSW, Australia For respondent, Tasin & Company, Inc., appeared Ernest Edward Badway, Esq. of the firm Saiber Schlesinger Satz &