Award NASD Dispute Resolution In the Matter of the Arbitration Between: Jeffrey Harris and Mary Anderson, Claimants v. Citicorp Investment Services, William B. Howard and Michael G. Myllek, Respondents Case Number: 05-01303 Hearing Site: San Francisco, California Nature of the Dispute: Customers vs. Member and Associated Persons REPRESENTATION OF PARTIES For Claimants: Timothy A. Canning, Esq. Attorney At Law Novato, California For Responden

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Young Soo So, Claimant v. Shin Han Global Securities f/k/a CHK Global Securities, Respondent Case Number: 06-00986 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member REPRESENTATION OF PARTIES For Claimant: Marc I. Zussman, Esq. Law Offices of Marc I. Zussman Los Angeles, California For Respondent: H. Thomas Fehn, Esq. Fields, Fehn & Sherw

Award NASD Dispute Resolution In the Matter of the Arbitration Between: John Stas (Claimant) vs. Lawrence Brockman and Citigroup Global Markets f/k/a Salomon Smith Barney (Respondents) Case Number: 06-00245 Hearing Site: Cleveland, Ohio Nature of the Dispute: Customer vs. Associated Person and Member. REPRESENTATION OF PARTIES Claimant John Stas hereinafter collectively referred to as "Claimant": James S. Jones, Esq., James S. Jones, L.P.A., Poland,

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Ronald and Dorothy Salvo (Claimants) v. Salomon Smith Barney, Inc. and Christopher Stoddard (Respondents) Case Number: 03-08311 Hearing Site: New York. New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Ronald Salvo ("R. Salvo") and Dorothy Salvo ("D. Salvo") hereinafter collectively referred to as "Claimants

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 06-03667 Mary E. McGrath, (Claimant) vs. E*Trade Securities LLC, (Respondent) ATTORNEYS: Claimant appeared pro se, Burlingame, CA. For Respondent appeared in-house counsel John Bersin, Esq., Rancho Cordova, CA. NATURE OF DISPUTE: Customer vs. Member DATE FILED: August 7, 2006 CASE SUMMARY: Claimant alleged that Respondent negligently handled her account by placing her in investments tha

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 06-04347 Carole J. Weustoff, (Claimant) vs. Hannah Maria Stear, (Respondent) ATTORNEYS: Claimant appeared pro se, Jennings, MO. For Respondent appeared In-house counsel for Edward D. Jones & Co., Kimber L. Monroe, Esq., St. Louis, MO. NATURE OF DISPUTE: Customer vs. Associated Person DATE FILED: September 19, 2006 CASE SUMMARY: Claimant alleged that Respondent breached her fiduciary dut

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Kenneth W. McDonald and Paillette McDonald (Claimants) v. William C. Piontek, Morgan Stanley Dean Witter & Co., D.E. Frey & Co., Dale E. Frey, Kimberlee D. Cornelius, John F. Owens, Michele A. Desilets, and PaineWebber, Inc. (Respondents) Case Number: 99-03371 Hearing Site: New York, NY Nature of the Dispute: Customers vs. Members and Associated Persons REPRESENTATION OF PARTIES

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 06-03537 James 0. Sturniolo, (Claimant) vs. A.G. Edwards & Sons, Inc. and Gregory Matzelle, (Respondents) ATTORNEYS: Claimant appeared pro se, Massapequa, NY. For Respondents appeared in-house counsel, Brent J. Burtin, Esq., St. Louis, MO. NATURE OF DISPUTE: Customer v. Member and Associated Person DATE FILED: July 28, 2006 CASE SUMMARY: Claimant alleged that Respondents placed him in i

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Marshal D. Gibson (Claimant) vs. UBS Financial Services, Inc., and Karen A. Kurrasch (Respondents) Case Number: 06-00520 Hearing Site: Hartford, Connecticut Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Marshal D. Gibson, Esq., hereinafter referred to as "Claimant" appeared pro se, New Haven, CT. Respondents UBS Financia

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Joseph Collura and Patricia Collura (Claimants) vs. A.G. Edwards & Sons, Inc. and Leonard Mandel (Respondents) Case Number: 05-04544 Hearing Site: Newark, New Jersey Nature of the Dispute: Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Claimants Joseph Collura ("J. Collura") and Patricia Collura ("P. Collura) hereinafter collectively referred to