N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of John R. Thompson, individually and as Trustee for Beneficial Life Insurance Company Combination Profit Sharing ~ Money Purchase Plan and Trust and as Beneficiary of Certain Individual Retirement Accounts and Susan Thompson, an individual and Beneficiary of an Individual Retirement Account NASD Arbitration No. 92-00882 Na

N.A.S.D. AWARD NATIONAL ASSOCIATION OP SECURITIES DEALERS In che Matter of the Arbitration Between Bonnie White 92-00881 Name of Respondent Roney & Co. Bruce A. Herrick REPRESEKTATIOM "or Claimant Bonnie White ("Claimant"): Peter H. Hull, a sole practitioner. For Respondent Roney & Co. {"Roney") and Bruce Herrick ("Herrick") : Robert N. Rapp, of Calfee Halter et al . CASE IMPORMATIOH Statement: of Claim filed: March 13, 1992. Ame

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 05-01595 Sue W. Westerman Names of the Respondents Hearing Site: New Orleans, Louisiana Hartford Securities Distribution Company, Inc. World Group Securities, Inc. Cameron Noorany Linsco/Private Ledger Corp. Daniel T. Dubois Royal Alliance Associates, Inc. Sentra Securities Corp. Securities America, Inc. Andrew D.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 04-03119 John C. Holschuh Jane C. Holschuh Names of the Respondents Hearing Site: Baltimore, Maryland Harrison Securities, Inc. George Grafas Frederick C. Blumer Nebrissa Song Joseph A. Carannante Alan Lax Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For John C. Holschuh an

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-03201 Dennis Doyle Name of Respondent Hearing Site: Orlando, Florida Merrimac Corporate Securities, Inc. Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Dennis Doyle, hereinafter referred to as "Claimant", appeared pro se. For Merrimac Corporate Securities, Inc., hereinafter referred to as "Respondent":

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Eric and Penny Leftkowitz Name of the Respondent Citigroup Global Markets, Inc., f/k/a Salomon Smith Barney, Inc. Case Number: 04-01721 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Eric Leftkowitz ("E. Leftkowitz") and Penny Leftkowitz ("P. Leftkowitz"), hereinafter collectively

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE; 99-03108 Sharon B. Osborn, claimant vs. Robert Herman Uzzle, respondent. ATTORNEYS: Claimant Sharon B. Osborn ("Claimant"), appeared Pro Se., Grand Rapids, MI. Respondent, Robert Herman Uzzle, ("Respondent"), appeared Pro Se., Suttons Bay, ML DATE FILED: July?, 1999 CASE SUMMARY: Claimant alleged that Respondent conducted unauthorized trade in her account. Cl

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Jim Shaw, Claimant v. E*Trade Securities, Inc., Respondent Case Number: 00-01076 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: Timothy A. Canning, Esq. Law Office of Timothy A. Canning San Francisco, California For Respondent: Paul S. Chan, Esq. Bird, Marella, Boxer & Wolpert Los Angeles, California CASE INFORMATION Statement

Award NASD Dispute Resolution In the Matter of the Arbitration Between: The Fuller Living Trust, Claimant v. Edward D. Jones & Co. and Scott C. Harris, Respondents Case Number: 05-05396 Hearing Site: San Francisco, California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Timothy A. Canning, Esq. Attorney at Law Novato, California For Respondents: Eric D. Lansverk, Esq. Hillis Clar

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Frederick Guy Hildebrand and Nancy Hildebrand, Claimants v. WM Financial Services, Inc., Washington Mutual, Inc., Winston R. Watson, and Calvin G. Williams, Respondents Case Number: 05-05434 Hearing Site: Los Angeles, California Nature of the Dispute: Customers v. Member, Non-Member, and Associated Persons REPRESENTATION OF PARTIES For Claimants: Thomas A. Schultz, Esq. Kyle