AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Lynda M. Johnson and Name of Respondent Prudential Equity Group, LLC f/k/a Prudential Securities Incorporated Case Number: 05-02563 Hearing Site: Houston, Texas NATURE OF DISPUTE Customer v. Member REPRESENTATION OF PARTIES Lynda M. Johnson ("Claimant") was represented by David K. Bissinger, Esq., Wilson Fulkerson LLP, Houston, Texas. • ,

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Earl Weingarden Revocable Living Trust U/A DTD 2-25-77 Earl Weingarden Trustee Names of the Respondents H&R Block Financial Advisors, Inc. f/k/a Olde Discount Corporation Michael Karris Case Number: 05-02553 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PAR

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-02546 Sentra Securities Corporation, (Claimant) vs. Scott M. Praizner, (Respondent) ATTORNEYS: ~~~ ~ ~ " " ~~ For Claimant appeared in-house counsel, David Fogel, Esq., Phoenix, AZ. Respondent did not submit an Answer to the Statement of Claim. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: May 13, 2005 CASE SUMMARY: Claimant alleged that Respondent breached an employment con

4 1 Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Names of Claimants Wayne R. and Judy F. Measor, JTWROS Case No. 01-00547 Names of Respondents John R. Exley, III J.P. Turner & Company, Inc. Hearing Site: Tampa, Florida REPRESENTATION OF PARTIES Wayne R. and Judy F. Measor, JTWROS, hereinafter collectively referred to as "Claimants", appeared pro se. For John R. Exley, III ("Exley") and J.P. Turner

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Christopher Richied, Claimant v. Charles Schwab & Co., Inc., Respondent Case Number: 05-02539 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member REPRESENTATION OF PARTIES For Claimant: Dennis R. Villavicencio, Esq. Catherine L. Bailey, Esq. Akins & Villavicencio, LLP Carlsbad, California For Respondent: Katherine Nathan, Esq. Charles Schw

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Douglas J. McCaslin and David R. Thomas, Claimants v. Conservatorship of the Estate of Curtis J. Hendricks, Respondent Case Number: 05-02537 Hearing Site: Portland, Oregon Nature of the Dispute: Associated Persons v. Customer REPRESENTATION OF PARTIES For Claimants: Thomas C. Sand, Esq. Miller Nash LLP Portland, Oregon For Respondent: James R. Cartwright, Esq. Cartwr

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Rosemary D. Rhoades and 05-02534 Kansas City, Missouri Name of Respondents RBC Dain Rauscher, Inc. Charles Lowry Fuller Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Rosemary D. Rhoades ("Claimant") was represented by Robert R. Barton, Esq., The Law Office of Robert R. Barton, LLC, Overland

Award NASD Dispute Resolution [n the Matter of the Arbitration Between: Robert Grundstein (Claimant) vs. Martin Rebhun, Jeffrey Dubowy, Liberty Capital Group, LP, n/k/a Liberty Capital I L.L.C. (Respondents) Case Number: 05-02527 Hearing Site: Newark, New Jersey Nature of the Dispute: Associated Person vs. Associated Persons and Terminated Member. Claimant Robert Grundstein hereinafter referred to as "Claimant" appealed pro se. Respondents Martin Rebhun

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-02522 James R. Davis, (Claimant) vs. William David Abbott and A.G. Edwards & Sons, Inc., (Respondents) ATTORNEYS: For Claimant appeared Romaine Gardner, Esq., of Lincoln Square Legal Services, Inc., New York, NY. For Respondents appeared in-house counsel Nancy Anderson Tayborn, Esq., St. Louis, MO. NATURE OF DISPUTE: Customer v. Member and Associated Person DATE FILED: May 11, 2005

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Barbara D. Betzner, Claimant v. Morgan Stanley DW Inc. (f/k/a Dean Witter Reynold Inc. and Morgan Stanley Dean Witter), Respondent Case Number: 05-02514 Hearing Site: San Francisco, California Nature of the Dispute: Customer v. Member REPRESENTATION OF PARTIES For Claimant: Randy S. Cohn, Esq. Katharine A. Wark, Esq. SimmonsCooper LLC East Alton, IL For Respondent: J