NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 06-00688 Thomas M. Kelty, (Claimant) vs. H&R Block Financial Advisors, Inc., (Respondent) ATTORNEYS: Claimant appeared pro se, Zweibruecken, Germany. For Respondent appeared in-house counsel, Lisa S.Fildes, Esq., Detroit, Ml. NATURE OF DISPUTE: Customer vs. Member DATE FILED: February 7, 2006 CASE SUMMARY: Claimant alleged that Respondent placed him in investments that were unsuitab

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 06-00679 First Montauk Securities Corp., (Claimant) vs. Kenneth Schober, (Respondent) ATTORNEYS: For Claimant appeared Michael S. Colombo, President and CEO of Streetwide Asset Recovery Group, Inc., Lyndhurst, NJ. Respondent did not submit an Answer to the Statement of Claim. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: February 9, 2006 CASE SUMMARY: Claimant alleged that

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 06-00587 David Shaw Butterworth, (Claimant/Counterclaim Respondent) vs. Securities Service Network, Inc., (Respondent/Counterclaim Claimant) ATTORNEYS: Claimant/Counterclaim Respondent appeared pro se, Lancaster, PA. For Respondent/Counterclaim Claimant appeared in-house counsel Ronald T. Klimas, Knoxville, TN. NATURE OF DISPUTE: Associated Person vs. Member DATE FILED: February 3, 2006

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 06-00503 Prudential Equity Group, LLC f/k/a Prudential Securities, Inc., (Claimant) vs. Christopher D. Johnson, (Respondent) ATTORNEYS: For Claimant appeared Erin A. Rowin, Esq., of the firm Lubiner & Schmidt, Cranford, NJ. Respondent did not submit an Answer to the Statement of Claim. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: January 31,2006 CASE SUMMARY: Claimant

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Joseph T. LaMarca and Thomas J. LaMarca, Claimants v. TD Waterhouse Investor Services, Inc. and Wendy M. Bryce, Respondents Case Number: 06-00415 Hearing Site: San Diego, California Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES For Claimants: Joseph T. LaMarca In Propria Persona and as Party Representative for Thomas J. LaMarc

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Scott Friedman v. 06-00388 Minneapolis, Minnesota Respondents Morgan Stanley DW, Inc., and John Eric Falldin NATURE OF DISPUTE Customer v. Member Firm and Associated Person REPRESENTATION Op PARTIES Scott Friedman ("Claimant") was represented by Donald R. McNeil, Esq., of Coleman, Hull & Van Vliet, PLLP, Minneapolis, Minnesota. Morgan Stanley DW, Inc.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Jesse L.B. Hill and Marianne Buckmeyer, Claimants v. Morgan Stanley DW Inc., John A. Bernard, and Cheryl D. Millard, Respondents Case Number: 06-00305 Hearing Site: Los Angeles, California Nature of the Dispute: Customers v. Member, Non-Member, and Associated Person REPRESENTATION OF PARTIES For Claimants: Jesse L.B. Hill, Esq. Law Offices of Jesse L.B. Hill San Luis Obispo,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Fidelity Brokerage Services, LLC, Claimant v. Amador Vargas, Jr., Respondent Case Number: 06-00239 Hearing Site: Los Angeles, California Nature of the Dispute: Member v. Customer REPRESENTATION OF PARTIES For Claimant: Laurence K. Richmond, Esq. Laurence K. Richmond & Associates, P.C. Quincy, Massachusetts CASE INFORMATION Statement of Claim filed: January 12, 2006 C

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 06-00213 Fidelity Brokerage Services, LLC, (Claimant) vs. K. Johnson & Associates, (Respondent) ATTORNEYS: For Claimant appeared Laurence K. Richmond, Esq., of the firm Laurence K. Richmond & Associates, P.O., Quincy, MA. Respondent did not submit an Answer to the Statement of Claim. NATURE OF DISPUTE: Member vs. Customer DATE FILED: January 12,2006 CASE SUMMARY: Claimant alleged th

Award NASD Dispute Resolution In the Matter of the Arbitration Between: r.fl< ift Number 01-03084 Terry Sherman n f Thf P^spop^^nt? Hearing ftitfv Houston, Texas Salomon Smith Barney Inc. A/K/A Consulting Group- Wilmington, James D. Stoker II, Ray J. Miller and Nigel J. Bowman RFPRFSFNT4TTON OF Claimant, Terry Sherman, hereinafter referred to as "Claimant": Jo Ann Merica, Esq., of Merica, & Bourland, P.C., located in Austin, Texas. Re