Award NASD Dispute Resolution In the Matter of the Arbitration Between: Barbara E. Richards, Claimant v. Morgan Stanley DW Inc., C. Michael Jennings and John H. Polhemus, Respondents Case Number: 05-03458 Hearing Site: San Francisco, California and Redding, California Nature of the Dispute: Customer v. Member and Associated Persons REPRESENTATION OF PARTIES For Claimant: W. Stephen Wilson, Esq. Tobin & Tobin San Francisco, California For

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Sherry Kettering, Claimant v. Cheryl D. Jimerson, InvestPrivate, Inc., Westrock Advisors, Inc., Scott L. Mathis, and Donald Geraghty, Respondents Case Number: 05-05146 Hearing Site: San Francisco, California Nature of the Dispute: Customer v. Members and Associated Persons REPRESENTATION OF PARTIES For Claimant: Brett A. Alcala, Esq. Alcala Law Firm San Mateo, California

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Patricia Hokanson, Claimant v. Merrill Lynch, Pierce, Fenner & Smith, Inc., and Thomas Patterson, Respondents Case Number: 05-04780 Hearing Site: San Francisco, California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Richard Sacks Irwin Stein Law Offices of Timothy A. Canning Novato, California For Respon

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Lyon Investments, Inc., Claimant v. Fidelity Brokerage Services LLC, Respondent Case Number: 05-03292 Hearing Site: San Francisco, California Nature of the Dispute: Customer v. Member REPRESENTATION OF PARTIES For Claimant: James A. Hughes, Esq. Sullwold & Hughes San Francisco, California For Respondent: Philip McLeod, Esq. Julie A. Kole, Esq. Keesal, Young & Logan

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Jeffrey L Buller and Jeffrey L. Buller Revocable Trust dtd 11/23/99, Claimants v. Smith Hayes Financial Services Corporation, Respondent Case Number: 05-06524 Hearing Site: Phoenix, Arizona Nature of the Dispute: Customers v. Member REPRESENTATION OF PARTIES For Claimants: Lawrence L. Klayman, Esq. Klayman & Toskes, P.A. Boca Raton, Florida For Respondent: James M. B

Award NASD Dispute Resolution COPY In the Matter of the Arbitration Between: Prudential Equity Group, LLC f/k/a Prudential Securities Incorporated, Claimant v. Jonathon E. Stanley, Jr., Respondent Case Number: 05-04830 Hearing Site: San Diego, California Nature of the Dispute: Member v. Associated Person REPRESENTATION OF PARTIES For Claimant: David W. Schmidt, Esq. Erin A. Rowin, Esq. Lubiner & Schmidt Cranford, New Jersey For Respo

Amended Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 05-05184 Walter E. MacDonald and Wanita B. MacDonald, individually and on behalf of their respective Roth IRA Accounts and Individual Retirement Accounts Name of the Respondent Hearing Site: Tampa, Florida Morgan Keegan & Company, Inc. Nature of the Dispute: Customer v. Member. REPRESENTATION OF PARTIES For Walter E. Ma

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number. 03-08500 Rosa Concepcion Vaccaro Gold Star Holdings, Ltd. Albena Investments, Ltd. Name of the Respondent Hearing Site: Boca Raton, Florida Merrill Lynch, Pierce, Fenner & Smith, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Rosa Concepcion Vaccaro, Gold Star Holdings, Ltd., and Albena Investments, Ltd.

Arbitration No. 01-02904 Award Page 1 of 7 Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants Case Number: 01-02904 Catherine M. Marchesi, individually and on behalf of Catherine M. Marchesi, trustee, Michael Bera Trust Deceased, and Catherine M. Marchesi, trustee Catherine M. Marchesi Revocable Living Trust Name of the Respondents Hearing Site: New York, New York May Davis Group William D. Laemmel

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-01822 David Gary Eigen Names of the Respondents Hearing Site: Boca Raton, Florida Capital Growth Financial, LLC Gary Jon Krystyniak Nature of the Dispute: Customer v. Member and Associated Person. REPRESENTATION OF PARTIES David Gary Eigen, hereinafter referred to as "Claimant," appeared pro se. For Capital Growth Financial, LLC ("CGF