Award NASD Dispute Resolution In the Matter of the Arbitration Between: ; Merrill Lynch, Pierce, Fenner & Smith, Inc. Case Number: 05-03717 Claimants, v. Hearing Site: Indianapolis,, Indiana Wells Fargo Investments, LLC, Wilbur C. Boren, Dennis R. Creasbaum, Douglas M. Mick, . • Eric D. Robinson, Sr. and Michael P. Santa, . : Respondents. Nature of the Dispute: Member Firm v. Member Firm and Associated Persons REPRESENTATION OF PARTIES

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Gertrude W. Payne, Individually and as Trustee, the Gertrude W. Payne IRA and the Gertrude W. Payne Revocable Living Trust and Case Number: 05-03690 Hearing Site: Southfield, Michigan Respondent/Third-Partv Claimant Signator Investors, Inc. and Third-Party Respondent Linda C. Kirschke NATURE OF DISPUTE Customer v. Member Member v. Associated P

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: First Allied Securities, Inc., Claimant v. Bradley J. Tennison and William E. Tennison, Respondents Bradley J. Tennison and William E. Tennison, Counter-Claimants v. First Allied Securities, Inc. Counter-Respondent Case Number: 05-03685 Hearing Site: Phoenix, Arizona Nature of the Dispute: Member v. Associated Persons Associated Persons v. Member REPRESENTATION OF

Award NASD Dispute Resolution In the Matter of the Arbitration Between: William F. McDonald, Claimant v. Charles Schwab & Co., Inc., Respondent Case Number: 05-03680 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member REPRESENTATION OF PARTIES For Claimant: William F. McDonald In Propria Persona Los Angeles, California For Respondent: Katherine Nathan, Esq. Charles Schwab & Co., Inc. San Francisco, California

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Wachovia Securities, LLC Name of the Respondent Adam Deane Case Number: 05-03670 Hearing Site: Boca Raton, Florida Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Wachovia Securities, LLC (Wachovia), hereinafter referred to as "Claimant": Gregory Tendrich, Esq., Gregory Tendrich, P.A., Boca Raton, Flo

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Stanley Freundlich and Judith Freundlich, (Claimants) vs. Ladenburg Thalman & Co. Inc. and David Epstein, (Respondents) Case Number: 01-00595 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Stanley Freundlich ("S. Freundlich") and Judith Freundlich ("J. Freundlich"), hereinafter collectively referred to as "Claimants": Fred N. Knopf, Esq., Wilson, Elser,

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-03669 Gwen Brubaker, (Claimant) vs. Eric Dean Jacobs and Brookstreet Securities Corporation, (Respondents) ATTORNEYS: Claimant appeared pro se,La Mesa, CA. Respondent Eric Dean Jacobs ("Jacobs") appeared pro se, San Marcos, CA. For Respondent Brookstreet Securities Corporation ("BSC") appeared H. Thomas Fehn, Esq., of the firm Fields, Fehn & Sherwin, Los Angeles, CA. Eric Dean Jacobs

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-03628 Melanie Proctor Megenity, (Claimant) vs. LMT Capital Markets, LLC, John Patrick Trears and John Richard Liegey, (Respondents) ATTORNEYS: Claimant appeared pro se, Duluth, GA. Respondent LMT Capital Markets, LLC did not submit an Answer to the Statement of Claim. Respondent John Patrick Trears did not submit an Answer to the Statement of Claim. Respondent John Richard Liegey did not

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Wachovia Securities, LLC vs. Timothy Joseph Heitmann Case Number: 05-03598 Hearing Site: Washington, D.C. Nature of the Dispute: Member v. Associated Person. RFPRFSFNTATIOM OF PARTIES Claimant, Wachovia Securities, LLC, hereinafter referred to as "Claimant", was represented by Jonathan E. Levine Esq., Law Office of Daniel S. Fiore, Arlington, Virginia. Respondent, Timothy Joseph

NftSD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-03588 New Castle Financial Group, Inc., (Claimant) vs. Robert Hodgins and Christopher Driscoll, (Respondents) ATTORNEYS: For Claimant appeared in-house counsel Brett D. Zinner, Esq., Plainview, NY. Respondent Robert Hodgins did not submit an Answer to the Statement of Claim. Respondent Christopher Driscoll did not submit an Answer to the Statement of Claim. NATURE OF DISPUTE: Member v.