Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Luann C. Nickolas, Claimant vs. Dain Rauscher, Inc., and Peter B. Miles, Respondents. Case Number: 99-03403 Hearing Site: Milwaukee. Wisconsin REPRESENTATION OF PARTIES Claimant, Luann C. Nickolas, "Nickolas", hereinafter referred to as "Claimant", was represented by John R. Teetaert, Esquire, of Menn, Nelson, Sharratt, Teetaert & Beisenstein, Ltd., Appleton, Wisconsin.

AWARD NASD DISPUTE RESOLUTION In the Matter of the Arbitration Between: Wachovia Securities, LLC vs. Melissa Holovach Case Number: 06-03657 SITUS: Tampa, Florida NATURE OF DISPUTE: Member vs. Associated Person REPRESENTATION OF PARTIES Wachovia Securities, LLC, hereinafter referred to as "Claimant": Gregory S. Tendrich, Esq., Gregory Tendrich, P.A., Boca Raton, Florida. Melissa Holovach, hereinafter referred to as "Respondent", did not enter an

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Vernon A. Geile and Marilyn L. Geile vs. Names of Respondents American Express Financial Advisors, Inc., n/k/a Ameriprise Financial Services, Inc., and Michael Paul Hughes Case Number: 06-02637 Hearing Site: St. Louis, Missouri NATURE OF THE DISPUTE Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Vernon A. Geile and

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Frank G. Savage vs. Case Number. 06-01569 Hearing Site: Houston, Texas Name of Respondent Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. NATURE OF THE DISPUTE Associated Person vs. Member REPRESENTATION OF PARTIES Frank G. Savage ("Claimant" or "Savage") was represented by Mark Siurek, Esq., Warren & Siurek, LLP, Houston, Tex

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants William M. Franey, Individually and on behalf of Gail Rusk, as Power of Attorney vs. Case Number: 06-00212 Hearing Site: Louisville, Kentucky Names of Respondents J.J.B. Milliard, W.L. Lyons, Inc., Lisa Schmidt, Cathy Perrin, and Ricki Hobgood NATURE OF THE DISPUTE Customers vs. Member and Associated Persons REPRESENTATION OF PARTIES Wi

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants/Counter-Respondents Larry R. Bishop and James E. Maxwell vs. Case Number: 04-00256 Hearing Site: Chicago, Illinois Names of Respondents/Counter-Claimants McDonald Investments, Inc. and Robert G. Jones Consolidated with: Name of Claimant Jem P. Maxwell vs. Case Number: 04-04795 Hearing Site: Chicago, Illinois Name of Respondent McDon

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Case Number: 03-05919 John F. Luby, III Names of the Respondents Hearing Site: New Orleans. Louisiana Merrill Lynch Pierce Fenner & Smith, Inc. Robert Ewing, IV Randy Kirby Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For John F. Luby, III hereinafter referred to as "Claimant": Samuel David Abraha

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of RUIH J. DUNNAM 88-03202 Name of Respondent (s\. SMITH BARNEY, HARRIS & UPHAM & CO. CASE SUMMARY In a Statement of Claim filed with the NASD cm October 17, 1988, Claimant Ruth J. Dunnam alleged that Respondent Smith Barney, Harris Upham & Co., Inc. committed breach of contract, negligence, gross-negligence, unsuitability and fraud in

Award NASD Dispute Resolution In the Matter of the Arbitration Between: John F. Crawley, Claimant v. Carlin Equities Corporation n/k/a Carlin Equities, LLC, Respondent Case Number: 06-01482 Hearing Site: Denver, Colorado Nature of the Dispute: Customer v. Member REPRESENTATION OF PARTIES For Claimant: Russell K. Bean, Esq. Dana Baggs, Esq. Krys Boyle, P.C. Denver, Colorado For Respondent: D. Elizabeth Wills, Esq. Michael Pippenger, E

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant James Kanellitas vs. Case Number: 05-05979 Hearing Site: Minneapolis, Minnesota Names of Respondents Piper Jaffray & Co., and Thomas Patrick Schnettler and Consolidated with: Name of Claimant James Kanellitas vs. Case Number: 05-05980 Hearing Site: Minneapolis, Minnesota Name of Respondent Piper Jaffray & Co. NATURE OF THE DISPUTE