Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-04027 John Bridgman Names of the Respondents Hearing Site: Boca Raton, Florida Morgan Stanley Dean Witter James Streitmatter Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For John Bridgman, hereinafter referred to as "Claimant": Alan J. Foxman, Esq., The Law Offices of Alan J. F

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Marion H. Holmes, Trustee of The Marion H. Holmes Rev. Trust U/A dtd. 07/12/94, Claimant v. A.G. Edwards & Sons, Inc. and Thomas P. Bjork, Respondents Case Number: 03-03021 Hearing Site: San Francisco, California Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Howard M. Hoffman, Esq. Law Offices of Howard M. Hoffman Sa

Amended Award NASD Dispute Resolution In the Matter of the Arbitration Between: Peter T. Holland, Claimant v. Merrill Lynch, Pierce, Fenner & Smith, Inc., Respondent Case Number: 03-02910 Hearing Site: Seattle, Washington Nature of the Dispute: Customer v. Member REPRESENTATION OF PARTIES For Claimant: Robert B. Sommer, Esq. and Robert Schwitzer, Esq. Hergenroeder, Rega and Sommer, LLC Pittsburgh, Pennsylvania For Respondent: Curt R. Hinelin

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Wachovia Securities, LLC, Claimant v. Kyle Harrington, Respondent Kyle Harrington, Counter-Claimant v. Wachovia Securities, LLC, Counter-Respondent Case Number: 06-01410 Hearing Site: San Francisco. California Nature of the Disputes: Member Firm v. Associated Person Associated Person v. Member Firm REPRESENTATION OF PARTIES For Claimant/Counter-Respondent ("Claima

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: John C. Gorman, Claimant v. Merrill Lynch, Pierce, Fenner & Smith, Inc.; Merrill Lynch Business Financial Services, Inc.; John B. Broberg; and Wilhelm G. Majewski, Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc., Counter-Claimant v. John C. Gorman, Counter-Respondent Case Number: 03-00996 Hearing Site: San Francisco, California Nature of the Disputes: Cust

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: AH Lee Khadivi, Claimant vs. E*TRADE Securities, Inc., Respondent. Case Number: 99-02998 Hearing Site: San Francisco, California REPRESENTATION OF PARTIES Claimant, Ali Lee Khadivi ("Khadivi"), hereinafter referred to as "Claimant": Philip M. Aidikoff, Esq. and Ryan K. Bakhtiari, Esq., Aidikoff & Uhl, Beverly Hills, California Respondent, E*TRADE Securities, Inc. ("E*TRADE"), hereinaf

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Amanda M. Evans f/k/a Amanda Samberg, Claimant v. Merrill Lynch, Pierce, Fenner & Smith Incorporated, Morgan Stanley DW Inc., Colleen L. Erickson, Steven A. Hild, Steven Samberg, and Leon Samberg, Respondents Case Number: 05-01956 Hearing Site: San Francisco, California Nature of the Dispute: Customer v. Members, Non-Members, and Associated Persons REPRESENTATION OF PARTIES For

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Citigroup Global Markets Inc., Claimant v. Jon A. Strine, Respondent Jon A. Strine, Counter-Claimant v. Citigroup Global Markets Inc., Counter-Respondent Case Number: 06-00468 Hearing Site: Seattle, Washington Nature of the Dispute: Member v. Associated Person Nature of the Dispute: Associated Person v. Member REPRESENTATION OF PARTIES For Claimant/Counter-Respondent: Eric D. La

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Citigroup Global Markets, Inc. (f/k/a Salomon Smith Barney Inc.), Claimant v. Stephen W. Horn, Respondent Case Number: 06-03793 Situs: Dallas, Texas Nature of the Dispute: Member v. Associated Person REPRESENTATION OF PARTIES For Claimant: W. Jerad Rissler Kutak Rock LLP Atlanta, Georgia Respondent did not enter an appearance in this matter CASE INFORMATION State

Award NASD Dispute Resolution In the Matter of the Arbitration Between: David Burow, Claimant v. UBS Financial Services, Inc., Respondent Case Number: 05-02625 Hearing Site: San Francisco, California Nature of the Dispute: Customer v. Member REPRESENTATION OF PARTIES For Claimant: • Burton V. McCullough, Esq. Law Office of Burton V. McCullough La Canada Flintridge, California For Respondent: Cameron Stout, Esq. Keesal, Young & Logan