Award NASD Dispute Resolution In the Matter of the Arbitration Between: Thomas R. Patterson (Claimant) vs. Edward D. Jones & Co., L.P. and Rhonda H. McCurry (Respondents) Case Number: 05-05963 Hearing Site: Cleveland, Ohio Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant Thomas R. Patterson hereinafter referred to as "Claimant": Lawrence J. Scanlon, Esq., Scanlon & Co., L.L.C., and Gerald P. Leb., E

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-01835 Vickie Stogner Names of the Respondents Hearing Site: New Orleans, Louisiana Edward D. Jones & Co. Henry Todd Young Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Vickie Stogner, hereinafter referred to as "Claimant": William C. Rowe, Esq. and Sherri A. Young, Esq., Rowe Law Firm,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-00341 Kenneth W. Albert Names of the Respondents Hearing Site: Tampa, Florida Philip A. Lehman Gregory L. Merrick Nature of the Dispute: Associated Person vs. Associated Person. REPRESENTATION OF PARTIES For Kenneth W. Albert ("Alber"), hereinafter referred to as "Claimant": Anthony Paduano, Esq., Paduano & Weintraub, LLP, New York, N

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-00286 First Montauk Securities Corp. Names of the Respondent Hearing Site: Boca Raton, Florida Casey Burt Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For First Montauk Securities Corp., hereinafter referred to as "Claimant": Robert I. Rabinowitz, Esq., First Montauk Securities Corp., Red Bank, New Jersey

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Alan N. Luedman vs. Names of Respondents Citigroup Global Markets, Inc. and Donald Regner Case Number: 06-01177 Hearing Site: Milwaukee, Wisconsin NATURE OF THE DISPUTE Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Alan N. Luedman ("Claimant") was represented by Michael O. Marquette, Esq., Gerbers Law Offices, S.C.,

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Joanne C. Widmaier and James Bitterman, Successor Trustees of the Bernice B. Bitterman Revocable Trust dated February 23,1987 vs. Case Number: 06-00215 Hearing Site: Southfield, Michigan Names of Respondents UBS Financial Services, Inc., Frederick L. Mirbach, and Philip W. Sloan NATURE OF THE DISPUTE Customer vs. Member and Associated Persons

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant The Estate of Florence Faiman vs. Name of Respondent Edward D. Jones & Company Case Number: 05-05447 Hearing Site: Minneapolis, Minnesota NATURE OF THE DISPUTE Customer vs. Member REPRESENTATION OF PARTIES The Estate of Florence Faiman ("Claimant") was represented by Marc G. Kurzman, Esq., Kurzman, Grant & Ojala, Minneapolis, Minnesota. E

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 99-02776 Douglas Johnson Names of the Respondents Hearing Site: Tampa, Florida Alden Capital Markets, Inc. Continental Broker-Dealer Corp. Karl Birkenfeld Jason Frankovich Nature of the Dispute: Customer vs. Members and Associated Persons REPRESENTATION OF PARTIES For Douglas Johnson, referred to as "Claimant": Steven D. Spivey, Esq.

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Leslie C. Lawrence vs. Case Number: 05-05315 Hearing Site: Chicago, Illinois Names of Respondents Stifel, Nicolaus & Company, Inc. and Todd A. Rinderer NATURE OF THE DISPUTE Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Leslie C. Lawrence ("Claimant") was represented by Sean Keane, Esq., Simmons Cooper LLC, East Alton, I

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Dorothy C. Maxson, through her Conservator, Colleen M. Hirsch vs. Case Number: 05-05130 Hearing Site: Troy, Michigan Name of Respondent Merrill Lynch Pierce, Fenner & Smith, Inc. and Name of Third-Party Claimant/Respondent Merrill Lynch Pierce, Fenner & Smith, Inc. vs. Name of Third-Party Respondent Lauri Lynn Hirsch NATURE OF THE DIS