Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Maxie A. LeBlanc Maxie A. LeBlanc, IRA Katherine S. LeBlanc LeBlanc Construction Names of the Respondents Merrill Lynch, Pierce, Fenner & Smith Incorporated Robert Ewing, IV Randy Kirby Case Number: 05-02591 Hearing Site: New Orleans, Louisiana Nature of the Dispute: Customer vs. Member and Associated Person. REPRESEN

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-07628 Ames Ray Names of the Respondents Hearing Site: Boca Raton, Florida SunTrust Securities, Inc. BHC Securities, Inc. n/k/a Fiserv Securities, Inc. National Financial Services LLC John Griffin Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Ames Ray, hereinafter referred to as "Claima

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-03680 Rupender Lokareddy Names of the Respondents Hearing Site: Orlando, Florida Fahnestock & Co., Inc. Jack Man Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Rupender Lokareddy, hereinafter referred to as "Claimant": Randell W. Henley, Esq., West Palm Beach, Florida. For Fahnestoc

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Annalisa Noonan and Stanley J. Korich, Claimants v. Morgan^ Stanley DW Inc., Respondent Case Number: 06-02719 Hearing Site: San Francisco, California Nature of the Dispute: Customers vs. Member REPRESENTATION OF PARTIES For Claimants: Stanley J. Korich and Annalisa Noonan Oakland, California For Respondent: Melissa M. Maccarone, Esq. Morgan Stanley DW Inc. San Fr

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Merrill Lynch, Pierce, Fenner & Smith Incorporated, Claimant v. William A. Anderson and Kathryn D. Anderson, Respondents Case Number: 06-01627 Hearing Site: Seattle, Washington Nature of the Dispute: Member v. Customers REPRESENTATION OF PARTIES For Claimant: Brian C. Free, Esq. Hillis Clark Martin & Peterson Seattle, Washington For Respondent William A. Anderson: Wi

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Raul E. Acosta, Claimant v. Citigroup Global Markets Inc. (f/k/a Salomon Smith Barney Inc.), Respondent Case Number: 06-00426 Hearing Site: Denver, Colorado Nature of the Dispute: Customer v. Member REPRESENTATION OF PARTIES For Claimant: Raul E. Acosta ProSe Colorado Springs, Colorado For Respondent: Gordon C. Young, Esq. Keesal, Young & Logan San Francisco,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Abdul Afridi, (Claimant) vs. Morgan Stanley Dean Witter & Co., Arun Sengupta, and Adel Afridi, (Respondents) Case Number: 01-03013 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Abdul Afridi, hereinafter referred to as "Claimant": Kim Steven Juhase, Esq., Novak & Juhase, Roseland, NJ. Respondents, Morgan Stanley Dean Witter & Co. ("MSDW") and Arun Sengupta

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Wachovia Securities, LLC, Claimant v. Jay Reid Porter, Respondent Case Number: 05-01390 Hearing Site: Seattle, Washington Nature of the Dispute: Member v. Associated Person REPRESENTATION OF PARTIES For Claimant: Diane C. Fischer, Esq. Ronald P. Kane, Esq. Stuart F. Primack, Esq. Kane & Fischer, Ltd. Chicago, Illinois For Respondent: John A. Bender, Esq.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Joann Ochi, Claimant v. Charles Schwab & Co., Inc. and Lawrence Suemitsu Furukawa, Respondents Case Number: 04-06432 Hearing Site: Honolulu, Hawaii Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Joann Ochi In Propria Persona Honolulu, Hawaii For Respondent Charles Schwab & Co., Inc.: Sean B. Meehan, Esq. Charle

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Deutsche Bank Securities, Inc., formerly known as Deutsche Bane Alex.Brown Inc., Claimant v. John Bantleman, Respondent Case Number: 03-00375 Hearing Site: San Francisco, California Nature of the Dispute: Member v. Customer REPRESENTATION OF PARTIES For Claimant: David D. Piper, Esq. Keesal, Young & Logan Long Beach, California For Respondent: John Bantleman London,