AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Joseph C. Fenech, individually and as Trustee, Joseph C. Fenech P.O. Profit Sharing Plan Dated 5/7/98 and 05-01679 Chicago, Illinois Name of Respondents Morgan Stanley DW Inc. Robert Jon Herboth Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Joseph C. Fenech, individually and as Trustee Joseph C. Fenech

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Dean Heinemann (Claimant) v. Oppenheimer & Co.., Inc. (Respondent) Case Number: 05-00989 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member REPRESENTATION OF PARTIES Claimant Dean Heinemann ("Claimant") hereinafter referred to as "Claimant": Douglas R. Hirsch, Esq., Sadis & Goldberg, LLC, New York, NY. Respondent Oppenheimer & Co., In

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-07833 Blossom Popkin Name of the Respondent Hearing Site: Boca Raton, Florida Morgan Stanley Dean Witter, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Blossom Popkin, hereinafter referred to as "Claimant": Sean M. Keane, Esq., SimmonsCooper LLC, East Alton, Illinois. For Morgan Stanley Dean Witter, In

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 04-00028 Harold A. Asher as Succession Representative of the Estate of Harold Otis Wright Audrey D. Wright Names of the Respondents Hearing Site: New Orleans, Louisiana A.G. Edwards & Sons, Inc. Morgan Stanley Dean Witter, Inc. f/k/a Dean Witter Reynolds, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIE

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Richard Baccaro and Merryl S. Baccaro (Claimants) vs. Citigroup Global Markets, Inc., and Jack Grubman (Respondents) Case Number: 03-06491 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Claimants Richard Baccaro ( M R. Baccaro") and Merryl S. Baccaro ("M. Baccaro") hereinafter collectively refe

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: David Chow Trust, Claimant v. Darren Wald and Prudential Securities Inc., Respondents Case Number: 01-02274 Hearing She: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: John B. Wallace, Esq. Wallace & Madden Los Angeles, California For Respondents: Charles B. LaChaussee, Esq. Prudential Securities, Inc. San Francisco, California CASE INFORM

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 06-01719 Artin Brock, (Claimant) vs. Edward D. Jones & Co., (Respondent) ATTORNEYS: Claimant appeared pro se, San Diego, CA. For Respondents appeared in-house counsel Lynette D. McDonald, Esq., St. Louis, MO. NATURE OF DISPUTE: Customer vs. Member DATE FILED: March 30, 2006 CASE SUMMARY: Claimant alleged that Respondent made unauthorized trades in his account, which deprived him of

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 06-01081 Janney Montgomery Scott, LLC, (Claimant) vs. William Todd, (Respondent) ATTORNEYS: For Claimant appeared in-house counsel James Creel, Esq., Philadelphia, PA. Respondent did not submit an Answer to the Statement of Claim. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: March 2, 2006 CASE SUMMARY: Claimant alleged that Respondent breached a contract by failing to repa

NASD DISPUTE RESOLUTION MODIFIED 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, TX. For Respondent appeared Sandra B. Gallini, Esq., of the firm GreensfeWer, Hernker &Gate, P.C., St Louis, MO. NATURE OF DISPUTE: Customers vs. Member ~ DATE FI

Award NASD Dispute Resolution In the Matter of the Arbitration Between: S. NEAL and PHYLLIS J. GRAHAM, Case Number: 05-00624 FOR THEIR JOINT ACCOUNT AND CO-TRUSTEES OF THEIR LIVING TRUST ACCOUNT, Hearing Site: Indianapolis, Indiana PHYLLIS GRAHAM AS TRUSTEE OF HER IRA AND NEAL GRAHAM AS TRUSTEE OF HIS IRRA, Claimants, v. MERRILL LYNCH, PIERCE, FENNER & SMITH, INC., Respondents. Nature of the Dispute: Customers vs. Member Firm REPRESE