Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the Claimant. " Case Number: 01-02715 Marilyn Downes Name nf the Respondents Rearing Sits- Philadelphia, PA PMG Capital Corporation Daniel M. McGlinchey Michelle*M. Logue RFPRF.SF.NTATTON OF PARTTF.S Claimant Marilyn Downes, hereinafter referred to as "Claimant", was represented by Robert N. Dellavella, Esq., Attorney at Law, Philadelphia, Pennsylvania

N.A.S.D. AKASD NKTIGNMi ASSOCIATION OF SECORITXES DEALERS i In the Matter of the Arbitration Between Q£ fyi Jorge R. Kiewek. 88-00129 Name of Rflsponrtffats Shearson Lehman Brothers, Inc., f/k/a Sbearson Lehman Button, Inc., f/k/a Shearson Lehman Brothers/American Express? Joe Cazabaza for Claimant: Jorge R. Kiewek. was represented by Joel H. Fullen, Esq. of San Antonio, Texas, For Respondents: Shearson Lehman Brothers, Inc.,

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Sunnyside Pacnev Ltd., S.PS. and } Joan Marshall, ) Claimants ) Case #88-00117 vs. ) Award Porcari, Fearnow & Associates, Inc., ) Art Porcari, ) Sanders, Morris & Mundy, Inc., ) York Securities, Inc., ) David Corcoran, ) Q&R Clearing Corp., and ) Prudential-Bache Securities, Inc., ) Respondents ) CASE SUMMARY Claimants allege tha

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Joy Paul, M.D., individually and as trustee of the South Bay Urology Medical Group Defined Contribution Plan, and Elizabeth Paul, M.D., individually and as trustee of the Elizabeth Paul Money Purchase Pension Plan, Claimants v. Merrill Lynch, Pierce, Fenner & Smith/Incorporated, Respondent Case Number: 06-00615 Hearing Site: Los Angeles. California Nature of the Dispute: Customers v

Award NASD Dispute Resolution In the Matter of the Arbitration Between: United Capital Markets, Inc., Claimant v. Gregory G. Jayson, Respondent Gregory G. Jayson, Counter-Claimant v. United Capital Markets, Inc., Counter- Respondent Case Number: 05-05937 Hearing Site: Los Angeles, California Nature of the Dispute: Member v. Associated Person Associated Person v. Member REPRESENTATION OF PARTIES For Claimant/Counter-Respondent United Capital

Amended Award NASD Dispute Resolution In the Matter of the Arbitration Between: La Verne P. Hawthorne, Claimant v. Merrill Lynch, Pierce, Fenner & Smith Incorporated and William L. Kopenhaver, Respondents Case Number: 05-03125 Hearing Site: Seattle, Washington Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant La Verne P. Hawthorne: Carl J. Carlson, Esq. Carlson & Dennett, P.S. Seattle, Washing

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Ann M. Classman, A M Classman Trust U/A/D 12/23/91, and Ray Classman, Claimants v. Citigroup Global Markets, Inc. and David E. Lin, Respondents Case Number: 06-01180 Hearing Site: Los Angeles. California Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES For Claimants: Bruce R. Corbett, Esq. Corbett, Steelman & Specter Irvine, Californ

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Craig D. Takahashi, Claimant v. Penson Financial Services, Inc., Synergy Investment Group, LLC, Timothy John Bain, Jeffrey Dean Jones, Christopher Joseph Palladino, Eric Christopher Sides, Mark Christopher Wesley, Times Securities, Inc., and Stephanie Pey Chooi, Respondents Case Number: 05-04302 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Members and

Award NASD Dispute Resolution In the Matter of the Arbitration Between: George J. Dahl, Claimant v. RBC Dain Rauscher Inc., Respondent RBC Dain Rauscher Inc., Counter-Claimant v. George J. Dahl, Counter-Respondent Case Number: 05-04487 Hearing Site: Los Angeles, California Nature of the Dispute: Associated Person v. Member Member v. Associated Person REPRESENTATION OF PARTIES For Claimant and Counter-Respondent George J. Dahl (hereinafter re

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Peter J. Wiese and Laurel J. Rakestraw individually, jointly and as Trustees of the Wiese-Rakestraw Charitable Remainder Unitrust and the Wiese- Rakestraw Trust, and Mark Wiese as trustee of the Wiese-Rakestraw Life Insurance Trust, Claimants v. American Express Financial Advisors, Inc., Steven R. Peabody, and Gary D. Jurden, Respondents Case Number: 04-05287 Hearing Site: Portland,