Stipulated Award NASD Dispute Resoiution In the Matter of the Arbitration Between: Elliot Aronson (Claimant) v. Barclays Capital Inc., Barclays Bank PLC, Michael Mazzei and Haejin Baek (Respondents) Case Number: 05-02135 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member, Non-Member and Associated Persons REPRESENTATION OF PARTIES Claimant Elliot Aronson hereinafter referred to as "Claimant": Daniel Turinsky, Esq.,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Case Number: 05-00347 Mary Torres Virginia Klinko Names of Respondents Hearing Site: Tampa, Florida Vestpoint Securities, Inc. First Liberty Group, LLC Charles Keith Byington John F, Fahey Clifford F. Bagnall Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Mary Torres ("Torres") and Virginia K

Award NASD Dispute Resolution In the Matter of the Arbitration Between: John Lambert and Heather Lambert (Claimants) vs. A.G. Edwards & Sons, Inc., and Frank M. Taylor (Respondents) Case Number: 04-06711 Hearing Site: Newark, New Jersey Nature of the Dispute: Customers vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimants John Lambert ("J. Lambert") and Heather Lambert ("H. Lambert"), hereinafter collectively referred to as "Claimant

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Timothy J. Cecchin, Claimant v. Patricia Tierney, Respondent Case Number: 05-06326 Hearing Site: San Francisco, California Nature of the Dispute: Associated Person v. Customer REPRESENTATION OF PARTIES For Claimant: Timothy N. Will, Esq. Albert & Will, LLP Torrance, California For Respondent: Michael Harrington, Esq. Law Offices of James Jay Seltzer Emeryv

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-02797 Canaciet Caja Nacional de Cesantia de Andinatel, S.A., Pacifictel, S.A. y Superintendencia de Telecomunicaciones Name of the Respondent Hearing Site: Boca Raton, Florida Prudential Equity Group, LLC f/k/a Prudential Securities, Incorporated Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Canacie

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 06-01202 Leonard J. Collins, (Claimant) vs. Scottrade, Inc., (Respondent) ATTORNEYS: Claimant appeared pro se, Ocala, FL. For Respondent appeared in-house counsel Andrew C. Small, Esq., St. Louis, MO. NATURE OF DISPUTE: Customer vs. Member DATE FILED: March 6, 2006 CASE SUMMARY: Claimant alleged that Respondent breached its fiduciary duty, negligently handled his account and omitted mat

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Richard E. Kota, Individually and for his IRA (Claimants) v. HSBC Securities (USA) Inc. f/d/b/a HSBC Brokerage (USA) Inc., and Theresa M. Smith (Respondents) Case Number. 05-5308 Hearing Site: Buffalo, New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Richard E. Kota, Individually and for his IRA hereinafter referred to as

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Names of the Claimants Case Number: 00-00824 Rose M. Nowiki Lucille Baker Names of the Respondents Hearing Site: Boca Raton, Florida Aragon Financial Services, Inc. Michael C. Clark REPRESENTATION OF PARTIES For Rose M. Nowiki ("Nowiki") and Lucille Baker ("Baker"), hereinafter collectively referred to as "Claimants": Howard N. Kahn, Esq., Cohen & Kahn, P.A., Holly

NASD DISPUTE RESOLUTION A.WABD NASD DISPUTE RESOLUTION. INC, CASE: 00-00089 Stephanie Bernik, claimant vs. EBI Securities Corporation and Christopher Astrwortli, respondents. ATTORNEYS: Claimant, Stephanie Betook, appeared Pro Se., New York, NY. For respondent, EBI Securities Corporation, appeared in-house counsel Russell K. Bean, Esq., Englewood, CO. Respondent Christopher Ashwortri did aot respond to the Statement of Claim. DATE FILED: January

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 05-03522 Kenneth L. Pike and Kenneth L. Pike IRA Names of the Respondents Hearing Site: Atlanta, Georgia Mitchell Weisberg Jordan Scales Marc Kimmell Franklyn R. Michelin John Kawas Nature of the Dispute: Customer vs. Associated Person. REPRESENTATION OF PARTIES For Kenneth L. Pike and Kenneth L. Pike IRA, hereinafter referred to