Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Case Number 05-02267 Arthur H. Weyrauch MaryT. Weyrauch Mary T. Weyrauch TTEE, U/A DTD 12/16/2000 by Arthur H. Weyrauch FIT Arthur H. Weyrauch TTEE U/A DTD 12/18/2000 by Mary T. Weyrauch FIT Name of Respondent Hearing Site: Tampa, Florida Merrill Lynch, Pierce, Fenner & Smith, Inc, Nature of the Dispute: Customer vs. Member. REPRESENTATION OF P

Award NASD Dispute Resolution In the Matter of the Arbitration Between: James Cappadona and Karen Cappadona (Claimants) vs. Citigroup Global Markets, Inc. (Respondent) Case Number: 04-08552 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Member REPRESENTATION OF PARTIES Claimants James Cappadona ("J. Cappadona") and Karen Cappadona ("K. Cappadona") hereinafter collectively referred to as "Claimants": Edward F. Westfield, Es

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: DOUGLAS W. BOUSLEY, PAULA BOUSLEY, andTRACEY BOUSLEY, Claimants, -vs- ALLEN M. GREEN and MEDALLION EQUITIES, INC., Respondents. Case Number: 01-02344 Hearing Site: Detroit, Michigan REPRESENTATION OF PARTIES Claimants: Daniel J. Cramer, 339 East Liberty Street, Suite 200, Ann Arbor, MI 48104 Respondents: Matthew W. Schlegel, 25800 Northwestern Hw

Award NASD Dispute Resolution In the Matter of the Arbitration Between; Name nf the riaiTnantg Hasp Nnmhpr- 02-06802 Commonwealth Holdings, Inc. Profit Sharing Plan & Trust, James T. Waddill, IV, Jocelyn Investors, Jeffrey Jorgensen, Kenneth Jorgensen, Eric Jorgensen, Lloyd Bernstein, Howard Borenstein, Clifford Schaefer, Mel Stewart, Angelo Armenta, Lucille Weber, individually and ffb/o Lucille Weber, IRA, Rosario Bartolotta, individually and f

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Douglas H. Stark and Case Number: 05-02631 Hearing Site: Troy, Michigan Respondents Basic Investors, Inc., American Capital Partners LLC, Michael W. Stephani, and MathewJ. Ferber, Sr. NATURE OF DISPUTE Customer v. Members and Associated Persons REPRESENTATION OF PARTIES Douglas H. Stark ("Claimant") was represented by Anthony V. Trogan, Jr., Esq., Ant

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Matthew J. Trachtenberg (Claimant) v. Bear Stearns & Co., Inc. (Respondent) Case Number: 04-08460 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Matthew J. Trachtenberg hereinafter referred to as "Claimant": David E. Robbins, Esq., Kaufmann, Feinew, Yamin, Gildin & Robbins, LLP, New York, NY. Claimant was previousl

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants Case Number: 04-08727 Nicholas P. Rossi, M.D., Nicholas P. Rossi, IRA and Helen K. Rossi Name of the Respondents Alan Robert Leff and Heartland Investment Associates, Inc. NATURE OF THE DISPUTE Public Customer vs. Member Firm and Associated Person REPRESENTATION OF PARTIES Claimants Nicholas P. Rossi, M.D. ("N. Rossi"), Nicholas P. Rossi, IR

$ASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-05840 Aurvil G. and Norma F. Gladden, (Claimants) vs. Edward D. Jones & Co., (Respondent) ATTORNEYS: For Claimant appeared Chris Claassen, Esq., of the firm Burg Simpson Eldredge Hersh Jardine PC, Dallas, IX. For Respondent appeared Sandra B. Gallini, Esq.. of the firm Greensfelder, Hemker& Gate, P.O., St. Louis, MO. NATURE OF DISPUTE: Customers vs. Member DATE FILED: November 15,200

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Lori Alexander, as the Administratix of the Estate of J. Larry Alexander, and James H. Alexander, Jr., as General Partner of the JAS Alexander Family Limited Partnership and Name of Respondent A.G. Edwards & Sons, Inc. Case Number. 04-08409 Hearing Site: Houston, Texas NATURE OF DISPUTE Customers v. Member Firm REPRESENTATION OF PARTIES

NASD DISPUTE RESOLUTION STIPULATED AWARD NASD DISPUTE RESOLUTION CASE: 06-00440 Gerald Bradley Goodchild, II, (Claimant) vs. Norma E. Brahams, (Respondent) ATTORNEYS: For Claimant appeared Debra A. Jenks, Esq. of the firm Dobin & Jenks LLP, Jupiter, FL. Respondent appeared pro se, Boynton Beach, FL. NATURE OF DISPUTE: Associated Person vs. Customer DATE FILED: January 26, 2006 CASE SUMMARY: Claimant requested expungement of all reference of NASD