AWARD NASD DISPUTE RESOLUTION In the Matter of the Arbitration Between: Claimants David Lingwall; Ronald Shoop, individually and as Trustee of The Bertha Shoop Trust; and, Sidney and Susan Jacobson, vs. Respondent/ Third-Party Claimant Berthel Fisher & Company Financial Services, Inc., vs. Third-Party Respondent Emily Halsband Case Number: 05-02502 Situs: Des Moin.es, Iowa NATURE OF DISPUTE: Customer v. Member v. Associated Person REPRESENTATION OF PART

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney Inc., Claimant v. Anssy A. Okoebor, Respondent Case Number: 05-02494 Hearing Site: Los Angeles, California Nature of the Dispute: Member v. Associated Person REPRESENTATION OF PARTIES For Claimant: Howard O. Boftz, Jr., Esq. Bryan Cave, LLP Santa Monica, California For Respondent: Anssy A. Okoebor In Propria P

Modified Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: John H. and Elaine C. Berninger, Claimants Vs. Thomas G. Glaser, William Kelly Montgomery, and Brian M, Zaid, Respondents. Case Number: 01-00544 Hearing Site: Cincinnati. Ohio REPRESENTATION OF PARTIES John H. Berninger, of Cleves } Ohio, represented Claimants John H. and Elaine C. Berninger ("the Berningers"), hereinafter referred to a

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Estate of Robert S. Curtin, (Claimant) vs. Dean Witter Reynolds, Inc. and William F. Hughes, (Respondents) Case Number: 00-00621 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Estate of Robert S. Curtin, hereinafter referred to as "Claimant": James B. Curtin, Successor Executor of the Estate of Robert S. Curtin, North Haven, CT. Respondents, Dean Witt

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-02493 Russell E. Gurley, (Claimant) vs. Sentra Securities Corporation, (Respondent) ATTORNEYS: Claimant appeared pro se, Salem, OR. For Respondent appeared in-house counsel John K, Fahey, Phoenix, AZ. NATURE OF DISPUTE: Associated Person vs. Member ~ " " DATE FILED: May 3, 2005 CASE SUMMARY: Claimant alleged that Respondent breached the terms of an Independent Contractor Agreement by

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Harry and Marilyn R. Haber Names of the Respondents Wachovia Securities, L.L.C. Marc Safinan Case Number: 05-02476 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Harry Haber ("H. Haber") and Marilyn R. Haber ("M. Haber"), hereinafter collectively referred to as "

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Donald and Geraldine Van Zyl, Claimants v. UBS Financial Services Inc. and David K. Lundquist, Respondents Case Number: 05-02465 Hearing Site: Seattle, Washington Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES For Claimants Donald and Geraldine Van Zyl: Randy Barnard, Esq. O'Shea Barnard Martin, P.S. Bellevue, Washington Fo

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 05-02464 Tracy Sanders Names of the Respondents Hearing Site: Birmingham, Alabama Investprivate, Inc. Vincent Franzone The Name of Third Party Respondent Larry Thompson Nature of the Dispute: Customer vs. Member and Associated Person vs. Associated Person. REPRESENTATION OF PARTIES For Tracy Sanders, hereinafter referred to as "Claim

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Freeman N. Harris and Dorothy J. Harris, Claimants v. Wells Fargo Investments, LLC and Donovan L. Hilsabeck, Respondents Case Number: 05-02455 Hearing Site: Las Vegas, Nevada Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES For Claimants: John D. Desbrow, Esq. Law Office of John D. Desbrow Newport Beach, California For Respondent

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: F. Allen Blagden (Claimant) v. Todd Bray and Calton & Associates, Inc. (Respondents) Case Number: 05-02450 Hearing Site: Hartford, Connecticut Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant F. Allen Blagden hereinafter referred to as "Claimant": William C. Rand, Esq., Law Offices of William Coudert Rand, New York, NY.