NASD Arbitration No. 93-05210 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant (s) Robert Icho Name of Resondent Scottsdale Securities, Inc Arthur Quint ero REPRESENTATION For Claimant: Robert Icho, Foster City, California For Respondent Scottsdale Securities, Inc.: Mark Finnegan, Scottsdale Securities, Inc., St. Louis, Missouri For Respondent Arthur Quinter

AMENDED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant The Joseph Kenith Revocable Trust Dated 1/14/99, Joseph Kenith Trustee, and Joseph M. Kenith Case Number: 01-02849 Names of the Respondents Morgan Stanley Dean Witter and Andrew Kronitz Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For The Joseph Kenith Revocable Trust Dated 1/14/99, Joseph Kenith Trustee, and Joseph M.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Christina Kozlowski (Claimant) vs. NY Life Securities, Inc., New York Life Insurance Company, New York Life Insurance & Annuity Corp., New York Life Insurance Company of Arizona, Frank J. Scarpa, and Anthony Krizman (Respondents) Case Number: 05-0685 Hearing Site: Buffalo, New York Nature of the Dispute: Associated Person vs. Member, Non-Members and Associated Persons. REPRESENT

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-02635 Karon Anthony Killday, (Claimant) vs. T. Rowe Price Investment Services, Inc. and T. Rowe Price Advisory Services, inc., (Respondents) ATTORNEYS: Claimant appeared pro se, Colorado Springs, CO. For Respondent appeared in-house counsel Edwin P. Aro, Esq., Denver, CO. NATURE OF DISPUTE: Associated Person vs. Member and Non-Member DATE FILED: May 14, 2005 CASE SUMMARY: Claimant al

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Michael Julian (Claimant) vs. Columbus Circle Investors (Respondent) Case Number: 05-06500 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Non-Member. REPRESENTATION OF PARTIES Claimant Michael Julian hereinafter referred to as "Claimant": William J. Foster, IV, Esq., McMillan, Constabile, Maker & Perone LLP, Larchmont, NY. Respondent Columbus Circl

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Judith M. Tinker (Claimant) vs. Anthony W. Phillips (Respondent) Case Number: 05-06653 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Associated Person. REPRESENTATION OF PARTIES Claimant Judith M. Tinker hereinafter referred to as "Claimant": appeared pro se. Respondent Anthony W. Phillips hereinafter referred to as "Respondent": Sameer Rastogi, Esq., Sich

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 06-01568 Randall E. Friberg, (Claimant) vs. Morgan Stanley DW, Inc. and James F. Jebbia, (Respondents) ATTORNEYS: Claimant appeared pro se, Cotton, CA. For Respondents appeared in-house counsel Helens Jepson, Esq., San Francisco, CA. NATURE OF DISPUTE: Customer v. Member and Associated Person DATE FILED: March 23, 2006 CASE SUMMARY: Claimant alleged that Respondents negligently handled

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Richard F. Meier (Claimant) vs. Alliance Capital Management Holding, LP, Alliance Capital Management Corporation, Alliance Bernstein Investment Research, and Alliance Capital Management, L.P. (Respondents) Case Number: 04-07633 Hearing Site: Newark, New Jersey Nature of the Dispute: Associated Person vs. Member and Non-Members. REPRESENTATION OF PARTIES Claimant Richard F. Meier

Modified Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Marian Kamath and Sharrel Kamath v. Joanne V. Graham and Merrill Lynch, Pierce, Fenner & Smith Inc. Case Number: 03-08353 Hearing Site: New York, New York Nature of Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES Claimants Marian Kamath ("M. Kamath") and Sharrel Kamath ("S. Kamath") hereinafter collectively referred to as "Claiman

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 06-01562 Ollie Lee Myrick, (Claimant) vs. Ameritrade, Inc. a/k/a Advanced Clearing, Inc. (Respondent) ATTORNEYS: Claimant appeared pro se, Kihei, HI. For Respondent appeared in-house counsel, James J. Vihstadt, Esq., Bellevue, NE. NATURE OF DISPUTE: Customer vs. Member DATE FILED: March 23, 2006 CASE SUMMARY: Claimant alleged that Respondent placed him in investments that were unsui