Award NASD Dispute Resolution In the Matter of the Arbitration Between: Louis Theodore IRA (Claimant) v. TD Waterhouse Investor Services, Inc. (Respondent) Case Number: 05-02640 Hearirig Site: New York, New York Nature of the Dispute: Customer v. Member REPRESENTATION OF PARTIES Claimant Louis Theodore IRA hereinafter referred to as '"Claimant" appearedpro-se. Respondent TD Waterhouse Investor Services, Inc. hereinafter referred to as "Respondent":

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-02636 William Mitchell and Brigette R. Mitchell, (Claimants) vs. First Command Financial Planning, Inc., (Respondent) ATTORNEYS: Claimants appeared pro se, Witchita Falls, TX. For Respondent appeared Ethan H. Cohen, Esq., of the firm Schiff Hardin LLP, Atlanta, GA. NATURE OF DISPUTE: Customers vs. Member DATE FILED: May 17, 2005 CASE SUMMARY: Claimants alleged that Respondent made er

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Wells Fargo Securities, Inc., a subsidiary of Wells Fargo Bank, N.A., Claimant v. Sutro & Co., Inc. and Paul I. Laughton, Respondents Case Number: 01-00549 Hearing Site: San Francisco, California REPRESENTATION OF PARTIES For Claimant: Steven H. Winick, Esq. Sheppard, Mullin, Richter & Hampton LLP San Francisco, California For Respondents: Stephen M. Williams, Esq.

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Gwendolyn Jeter and Virginia Whiteside Names of the Respondents Royal Alliance Associates, Inc., John Owens Investment Management, Inc. and John Owens, individually Case Number: 05-02621 Hearine Site: Birmingham, Alabama Nature of the Dispute: Customer vs. Meniber, Non-Member and Associated Person. I , REPRESENTATION OF PARTI

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Rogelio Sanchez and Graciela Sanchez, Claimants v. Walnut Street Securities, Inc. and Reginald E. Fennell, Respondents Case Number: 05-02619 Hearing Site: Los Angeles, California Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES For Claimants Rogelio Sanchez and Graciela Sanchez: H. Thomas Fehn, Esq. Fields, Fehn & Sherwin Los Angeles

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimants Robert H. Gengler, IRA and Margaret M. Gengler Dec of Trust and 05-02610 Chicago, Illinois Name of Respondent UBS Financial Services Inc. f/k/a UBS PaineWebber, Inc. Nature of the Dispute: Customers vs. Member. REPRESENTATION OF PARTIES Robert H. Gengler, IRA and Margaret M. Gengler Dec of Trust ("Claimants") were represented by Charles Hunter, Esq.,

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-02604 Debbie Hillis, (Claimant) vs. Edward Jones & Co. and Vem Dale Holifield, (Respondents) ATTORNEYS: Claimant appeared pro se, Fort Worth, TX. For Respondents appeared in-house counsel Kimberly L. Monroe, St. Louis, MO. NATURE OF DISPUTE: Customer v. Member and Associated Person DATE FILED: May 17, 2005 CASE SUMMARY: Claimant alleged that Respondents breached a contract, failed to exe

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number 05-02575 Sherre M. Burbage, as custodian for the accounts of Dennis and Christopher Burbage Names of the Respondents Hearing Site- Columbia, South Carolina Edward Jones Michael Ray Grubb Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIFS Claimant Sherre M. Burbage, as custodian for the accounts

Award NASD .Dispute Resolution In the Matter of the Arbitration Between: Ottilia Dee Baldwin, Trustee of the Ottilia Dee Baldwin Revocable Trust, Claimant, v. . • Wachovia Securities, LLC and Dennis Bielfeldt Respondents. Case Number: 05-02573 Hearing Site: Indianapolis, Indiana Wachovia Securities, LLC and Dennis C. Bielfeldt, Third-Party Claimants, Ottilia Dee Baldwin and Joanna Sunderland, Co-Trustees of the Ottilia De

Award NASD Dispute Resolution In the Matter of the Arbitration Between: George Eischen and Joseph Fricke Co-Trustees of the Gresham Sports Care, Inc. Profit Sharing 401 (k) Plan, Claimant v. Smith Barney n/k/a Citigroup Global Markets, Inc.,, Respondent Case Number: 05-02567 Hearing Site: Portland, Oregon Nature of the Dispute: Customers v. Member REPRESENTATION OF PARTIES For Claimant: Diane E. Godwin, Esq. Law Offices of Diana E. Godwin Portla