NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 06-01895 5740 Incorporated, (Claimant) vs. Ameritrade, Inc. (Respondent) ATTORNEYS: For Claimant appeared Ricardo Escalante, Belize City, Belize. For Respondent appeared in-house counsel, James J. Vihstadt, Bellevue, NE. NATURE OF DISPUTE. Customer vs. Member DATE FILED: April 10, 2006 CASE SUMMARY: Claimant alleged that Respondent negligently handled its account and breached its fiduci

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 06-01792 Harian Parten, (Claimant) vs. Gardner Financial Services, Inc. and Thomas Stoltman, (Respondents) ATTORNEYS: For Claimant appeared Gayle Spiess, Little Canada, MN. For Respondents appeared Richard A. Lind, Esq., of the firm Lind Jensen Sullivan Peterson, Minneapolis, MN. NATURE OF DISPUTE: Customer v. Member and Associated Person DATE FILED: April 6, 2006 CASE SUMMARY: Clai

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: John A. Barrymore, Claimant v. Piper Jaffray & Co., Respondent Case Number: 06-01603 Hearing Site: San Francisco, California Nature of the Dispute: Associated Person v. Member REPRESENTATION OF PARTIES For Claimant: Shannon H. Alexander Weissmann Wolff Bergman Coleman Grodin & Evall LLP Beverly Hills, California For Respondent: Christine Esckilsen Piper Ja

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Thomas D. Gleason, Augustus M. Gleason, and Luke D. Gleason by and through their parents and guardians Thomas H. Gleason and Adelaide Nardone (Claimants) vs. Spencer Trask Ventures, Inc. and Scott F. Schulte (Respondents) Case Number: 06-00835 Hearing Site: Providence, Rhode Island Nature of the Dispute: Customers vs. Member and Associated Person REPRESENTATION OF PARTIES

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Christine A. Triplett (Claimant) vs. Merrill Lynch, Pierce, Fenner & Smith, Inc. (Respondent) Case Number: 06-00540 Hearing Site: Columbus, Ohio Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Christine A. Triplett hereinafter referred to as "Claimant": Milton H. Fried, Jr., Esq., Woska & Hayes, LLP, Kingwood, TX. Respondent Merrill Lynch, Pier

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION *» CASE: 06-00397 Adrian Havelka, (Claimant) vs. Robert Madden and Charles Schwab & Co., Inc., (Respondents) ATTORNEYS: For Claimant appeared Romaine L. Gardner, Esq., of the firms Lincoln Square Legal Services, Inc. and Ford ham University School of Law, New York, NY. For Respondents appeared in-house counsel, Katherine Nathan, Esq., San Francisco, CA. NATURE OF DISPUTE: Customer v. Memb

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Wanda S. Keith, Claimant v. A.G. Edwards & Sons, Inc. and Dalan Madsen, Respondents Case Number: 01-02401 Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For Wanda S. Keith, hereinafter referred to as "Claimant": Thomas H. Buscaglia, Esq., T. H. Buscaglia and Associates, Miami, Florida For A.G. Edwards & Sons, Inc.("A.G. Edwards") and Dalan Madsen ("Madsen"), herei

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 06-00268 Wachovia Securities, LLC, (Claimant/Counterclaim Respondent) vs. Richard Ferazi, (Respondent/Counterclaim Claimant) ATTORNEYS: For Claimant/Counterclaim Respondent appeared Renan I. Sugarman, Esq., of the firm Renan Sugarman, P.C., Chicago, IL. Respondent/Counterclaim Claimant appeared pro se, Lake Worth, FL. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: January 19

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Merrill Lynch Pierce Fenner & Smith, Mary Beth Chavez, and Linda Paul v. Wayne and Mary Judy Case Number: 06-00165 Hearing Site: New York Nature of the Dispute: Member and Associated Persons vs. Customers. REPRESENTATION OF PARTIES Claimants Merrill Lynch Pierce Fenner & Smith ("Merrill Lynch"), Mary Beth Chavez ("Chavez"), and Linda Paul ("Paul"), hereinafter collect

Award NASD Dispute Resolution n In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-00003 Gerald T. Wyatt Names of the Respondents Hearing Site: Charleston, West Virginia Merrill Lynch, Pierce, Fenner & Smith, Inc. Citigroup Global Markets, Inc. Chandis Ferguson, II Nature of the Dispute: Customer vs. Members and Associated Person. REPRESENTATION OF PARTIES Claimant, Gerald T. Wyatt, hereinafter referred to as "Cla