N.A.S.D. AWARD NKTICNftL ASSOCIflTICN CF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimantfs) Kathleen A. Foster 88-03197 A.G. Edwards & Sons, Inc. Stuart Thorn Claimant Kathleen A. Foster was represented by Raymond S. Heyman of O'Connor, Cavanagh, Anderson, Waetover, Killingsworth & Beshears, P.A., Phoenix, Arizona. Respondent A. G. Edwards & Sons, Inc. was represented by Rose M. Schindler of A. G. Edwards & S

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Gregg and Susan Perelman Case No. 99-03390 Summit Investment Group, Inc. Pershing Division of Donaldson Lufldn & Jenrette Securities Corp. Timothy B.Gabriel Hearing Site- Pittsburgh, PA RFPRFSF NTATTOM nl? PARTTFF Claimants, Gregg and Susan Perelman, ("Claimants"): Samuel F. Reynolds, Jr., Esq. of the Law Offices of Weisman Goldman Bowen & Gross, LLP, Pittsb

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 01-05750 Slobodan Jazarevic Names of the Respondents Hearing Site: Boca Raton, Florida Salomon Smith Barney Joel Lansat Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Slobodan Jazarevic, hereinafter referred to as Claimant: Robert G. Haile, Jr., Esq., Haile, Shaw & Pfaffenberger, P.A., Nor

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 05-06600 William M. Baird Name of the Respondent Hearing Site: Tampa, Florida Morgan Keegan & Company, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For William M. Baird, hereinafter referred to as "Claimant": Elihu H. Berman, Esq., Elihu H. Berman, P.A., Clearwater, Florida. For Morgan Keegan & Company, Inc.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Bernard Gordon, Trustee, acting on behalf of the Bernard Gordon Trust Name of the Respondent Capital Growth Financial, LLC Case Number: 06-00865 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Bernard Gordon, Trustee, acting on behalf of the Bernard Gordon Trust, hereinafter referred to

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 05-05527 Frank M. Rogers Huong T. Rogers James D. Barker Donna C. Barker Michael W. Hawes Donna E. Hawes Name of the Respondent Hearing Site: Washington, D.C. Prudential Securities, Inc. n/k/a Prudential Equity Group, LLC Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Frank M. Rogers, Huong T.

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Dan J. and Becky Autrey vs. Case Number: 05-04700 Hearing Site: Houston, Texas Names of Respondents Citigroup Global Markets, Inc. f/k/a Salmon Smith Barney, Inc., Essex National Securities, Inc., Robert Lewis Edwards, and Karen Denise Danna NATURE OF THE DISPUTE Customers vs. Members and Associated Persons REPRESENTATION OF PART

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants John Valdrighi, Carol Valdrighi, and Clifford S. Hayes and Meredith Hayes, Trustees for Meredith Hayes Institutional Asset Account vs. Case Number: 05-02897 Hearing Site: Omaha, Nebraska Name of Respondent Citigroup Global Markets, Inc. NATURE OF THE DISPUTE Customers vs. Member REPRESENTATION OF PARTIES John Valdrighi, Carol Valdrighi, and

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant David Warren Cade vs. Case Number: 05-06224 Hearing Site: Houston, Texas Names of Respondents Amerifinancial, Anthony Joseph Fareri, and Candace Sametini NATURE OF THE DISPUTE Associated Person vs. Member and Associated Persons REPRESENTATION OF PARTIES David Warren Cade ("Claimant" or "Cade") was represented by Douglas L. Haynes, Esq., T

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Daniel G. Brandon vs. Case Number: 05-00474 Hearing Site: Dallas, Texas Names of Respondents Citigroup Global Markets, Inc. and Roger L. Metz NATURE OF THE DISPUTE Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Daniel G. Brandon ("Claimant") was represented by Paul B. Westbrook, Esq., Harris, Finley & Bogle, Fort Worth, T