N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Luigi G. Oddo Case No. 94-01630 Name of Respondent Olde Discount Corporation For Claimant, Luigi G. Oddo ("Oddo"): Pro Se. For Respondent, Olde Discount Corporation ("Olde"): David T. Doyle, Esq., and Karen L. Brink, Esq. of Olde Discount Corporation. CASE INFORMATION Statement of Claim filed: May 3, 1994. Claimant's Submis

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Barbara L. Walters, Judi Schmidt, et. al. Case No:94-01537 Name of Respondent(s) Donnellan Haylett Company, Inc., Marilyn Snodell-Griffmg REPRESENTATION For Claimants, Barbara L. Walters, Judi Schmidt, et.al. ("Walters"): W. Andrew Clayton Jr.,Esq., of Synder, Groner, Schieb & Clayton in Sarasota, Florida For Respondents

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Arthur P. Levinson Case No. 94-01270 f Respondents Prudential Securities Inc William John Mooney For Claimant, Arthur P. Levinson ("Levinson"), Curtis Carlson, Esq. of Carlson & Bales, P. A.*, Miami, Florida. For Respondents, Prudential Securities, Inc. ("Prudential") and William J. Mooney ("Mooney"), Donna Ross Daniels, Es

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Kenneth H. South, Claimant v. Frank W. Hill and Helen M. Hill, Trustees of the Hill Family Trust; and Cathleen A. Hill, Respondents Case Number: 06-02733 Hearing Site: Los Angeles, California Nature of the Dispute: Associated Person v. Customers REPRESENTATION OF PARTIES For Claimant: Michele R. Fron, Esq. Scott E. Rahn, Esq. Keesal, Young & Logan Long Beach,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Stephan A. Velazquez, Angela Godinho and Kristine Klein, Claimants v. Morgan Stanley DW Inc., Respondent Morgan Stanley DW Inc., Counter-Claimant v. Angela Godinho, Counter-Respondent Case Number: 05-05013 Hearing Site: Denver, Colorado Nature of the Dispute: Associated Persons v. Member Member v. Associated Person REPRESENTATION OF PARTIES For Claimants Stephan Velazquez, O

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Gweneth Den Dooven, Claimant v. A.G. Edwards & Sons, Inc., Insight Capital Research & Management, Inc., and Raymond J. Shreder, Respondents Case Number: 04-07062 Hearing Site: Las Vegas, Nevada Nature of the Dispute: Customer v. Member, Non-Member, and Associated Person REPRESENTATION OF PARTIES For Claimant: David Gaba, Esq. Compass Law Group, PLLC Seattle, Washington

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Narramore Christian Foundation, Claimant v. Wedbush Morgan Securities Inc. and Michael P. Farah, Respondents Wedbush Morgan Securities Inc., Cross-Claimant v. Michael P. Farah, Cross- Respondent Case Number: 04-05032 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member and Associated Person Member v. Associated Person REPRESENTATION OF PARTIES

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Michele Pearson and Jerald Pearson, Claimants v. Merrill Lynch, Pierce, Fenner & Smith Incorporated and Ronald Craig Mulberg, Respondents Case Number: 05-03681 Hearing Site: Seattle, Washington Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES For Claimants: J. Dino Vasquez, Esq. Bullivant Houser Bailey PC Seattle, Washington For

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: 159622 Canada Inc., (Claimant) vs. J.B. Oxford & Company and James Schmitt, (Respondents) Case Number: 99-02315 Hearing Site: Albany, New York REPRESENTATION OF PARTIES Claimant, 159622 Canada Inc., hereinafter referred to as "Claimant": Marc Valin, Director, 159622 Canada Inc., Quebec, Canada. Respondents, J.B. Oxford & Company ("Oxford") and James Schmitt ("Schmitt"), he

Award COPY NASD Dispute Resolution In the Matter of the Arbitration Between: Diane Truly, individually and as Assignee of the Receiver for Pacific Cortez Securities Incorporated f/k/a La Jolla Capital Corporation, Claimant v. Salomon Grey Financial Corporation, Harold B. Gallison, Jr., Harold B. Gallison, Sr., Troy J. Flowers, Kyle B. Rowe, Angelo P. Koupas, Cris D. Sagnelli, Christos V. Kiziroglou, Gregory K. Mehlmann, Frank Drechsler, Randall Lanham, Shar