NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-04580 Carolyn and Max Ender, (Claimants) vs. Edward D. Jones & Co., (Respondent) ATTORNEYS: For Claimant appeared Richard A. Lewins, Esq., of the firm Burg Simpson Eldredge Hersh Jardibe P.C., Dallas, TX. For Respondent appeared Sandra B. Gallini, Esq., of the firm Greensfelder, Hemker & Gale, P.C., St. Louis, MO. NATURE OF DISPUTE: Customers vs. Member DATE FILED: August 31, 2005

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 05-04552 Emma Jeanette McCall, Individually Loyd H. McCall, Jr., Individually Emma Jeanette McCall Revocable Living Trust Name of the Respondent Hearing Site: Atlanta, Georgia Ogilvie Security Advisors Corporation, an Illinois Corporation Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Emma Jeanette McCall

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Citigroup Global Markets Inc. f7k/a Salomon Smith Barney Inc., Claimant v. Joseph Hawach, Respondent Case Number: 05-04542 Hearing Site: Honolulu, Hawaii Nature of the Dispute: Member v. Customer REPRESENTATION OF PARTIES For Claimant: James A. Cracolici, Esq. Alonso, Andalkar & Kahn, P.C. New York, New York For Respondent: Joseph Hawach In Propria Persona City o

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Peter J. Coons (Claimant) vs. Charles Schwab & Co., Inc. (Respondent) Case Number: 05-04524 Hearing Site: Albany, New York Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant Peter J, Coons hereinafter referred to as "Claimant" appeared pro se. Respondent Charles Schwab & Co., Inc. hereinafter referred to as "Respondent": Sean B. Meehan, Esq., Charles S

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Joseph J. Mysliwiec and Respondent American Express Financial Advisors, Inc. n/k/a Ameriprise Financial Services, Inc. Case Number: 05-04416 Hearing Site: Southfield, Michigan Customer v. Member NATURE OF DISPUTE REPRESENTATION OF PARTIES Joseph J. Mysliwiec ("Claimant") was represented by Eric S. Richards, Esq., and Brian M. Andrew, Esq., Mika, M

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-04393 Hennion & Walsh, Inc., (Claimant/Counterclaim Respondent) vs. Joseph W. Paulter, (Respondent/Counterclaim Claimant) ATTORNEYS: For Claimant/Counterclaim Respondent appeared Daniel J. Reiser, Esq., of the firm Bressler, Amery & Ross, P.C., Morristown, NJ. For Respondent/Counterclaim Claimant appeared John A. Canter, Esq., of the firm Spinato, November, Conte & LaRocca, P.C., Glen Ro

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Philadelphia Financial of San Francisco, LLC, Claimant v. Bear Stearns & Co. Inc. and Alessandro P. Garbuio, Respondents Case Number: 05-04372 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: David Marek, Esq. Liddle & Robinson, L.L.P. New York, New York For Respondent

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Fifth Third Securities, Inc. and Fifth Third Bancorp, Case Number: 05-04369 Claimants, v. Hearing Site: Indianapolis, Indiana Bradley K. Maikranz and Summit Financial Solutions, LLC Respondents. Nature of the Dispute: Member v. Associated Person REPRESENTATION OF PARTIES Fifth Third Securities, Inc. ( ( Tifth Third") and Fifth Third Bancorp. ("Fifth Bancorp"), he

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-04361 Homer Ham, (Claimant) 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 Greensfelder, Hemker & Gale, PC, St. Louis, MO. NATURE OF DISPUTE: Customer vs. Member DATE FILED: August 18, 2006 CASE SUMMARY: Cla

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: The Wilt Trust DTD 01/05/90, (Claimant) vs. Mason Hill & Co., Inc. and Adam H. Kaplan, (Respondents) Case Number: 01-00604 Hearing Site: Albany, New York REPRESENTATION OF PARTIES Claimant, The Wilt Trust DTD 01/05/90, hereinafter referred to as "Claimant": Bernard M. Wilt and Lydia E. Wilt, Trustees, The Wilt Trust DTD 01/05/90, Glenmont, NY. Respondent, Mason Hill & Co.,