Award NASD Dispute Resolution In the Matter of the Arbitration Between: Norman R. Fox (individually and as Trustee of the Fox Family Trust and as Custodian of the Norman Fox IRA and Custodian for: Mark R. Wdowicki, John S. Wdowicki, Katie M. Paznokas, and Brian W. Paznokas) and Claire N. Fox (individually and as Trustee of the Fox Family Trust and as Custodian of the Claire N. Fox IRA and Custodian for: Robert Jeffrey Bow, Gregory H. Bow, and Jennifer Nicol

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Kathy Horn-Dalton and Janet Johnson, Claimants v. Citigroup Global Markets, Inc. and Edwin D. Brolyer, Respondents Case Number: 05-05221 Hearing Site: Denver, Colorado Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES For Claimants: Steve A. Miller, Esq. Law Offices Steven A. Miller, P.C. Denver, Colorado For Respondents: Etta

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Vaggi Lieberman, individually and on behalf of the Vaggi Lieberman IRA; Katina Torino, individually and on behalf of the Katina Torino IRA; Alexis Lieberman; Lawrence Lieberman on behalf of the Lawrence Lieberman IRA; Seville Gardens; Katina & Associates, Inc.; Courtyard Apartments; and KV Development Corp. Pension Plan, Claimants v. Citigroup Global Markets Inc. f/k/a Salomo

NASD REGULATION, INC. OFFICE OF DISPUTE RESOLUTION IN THE MATTER OF THE ARBITRATION BETWEEN: ) ) EVEREN SECURITIES, INC., ) ) NASD CASE NO. 99-02314 Claimant, ) JAMES S.TUFFIELD, Respondent. STIPULATED AWARD REPRESENTATION For Claimant: Brad Busscher For Respondent: CASE INFORMATION Statement of Claim filed on: May 1 8, 1 999 Claimant's Submission Agreement signed on: May 18, 1999 Statement of Answer filed by Respondent

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 00-01001 Greg Cass, claimant vs. WestAmerica Investment Group and O.J. Wilkinson, respondents. ATTORNEYS: Claimant appeared Pro Se, Morrison, CO. For Respondent WestAmerica Investment Group appeared Gary R. Blume, Esq., Phoenix, AZ. For Respondent O.J. Wilkinson appeared Richard G. Himelrick, Esq., Phoenix, AZ. DATE FILED: March 7, 2000 CASE SUMMARY: Claimant alleged that the options

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Laura S. Fernandez (Claimant) vs. National Planning Corp., Securities America, Inc., ING Financial Partners, Inc. f/k/a Locust Street Securities, Inc., Paul J. Tolley, David O. Spinar, Danny D. Horn, Kevin Michael Laraia, and Karl Stephen Lindberg (Respondents) Case Number: 05-05078 Hearing Site: Cleveland, Ohio Nature of the Dispute: Customer vs. Members and Associated Persons

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 06-02067 Newbridge Securities Corporation, (Claimant) vs. Alfonso Miranda, (Respondent) ATTORNEYS: For Claimant appeared Michael S. Colombo, President and CEO of the firm StreetWide Asset Recovery Group, Inc., Lyndhurst, NJ. Respondent did not submit an Answer to the Statement of Claim. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: April 21, 2006 CASE SUMMARY: Claimant alle

Award NASD Dispute Resolution In the Matter of the Arbitration Between: David L. Romel (Claimant) vs. Charles R. Spurgeon and ING Financial Partners, Inc. (Respondents) Case Number: 06-01715 Hearing Site: Cleveland, Ohio Nature of the Dispute: Customer vs. Associated Person and Member REPRESENTATION OF PARTIES Claimant David L. Romel hereinafter referred to as "Claimant": Alice L. Stewart, Esq., Duquesne University School of Law, Pittsburgh, PA.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: UBS Securities, LLC (Claimant) vs. Bane of America Securities, LLC (Respondent) Case Number: 06-01714 Hearing Site: New York, New York Nature of the Dispute: Member vs. Member: REPRESENTATION OF PARTIES Claimant UBS Securities, LLC hereinafter referred to as "Claimant": Jonathan L. Hochman, Esq., Schindler Cohen & Hochman LLP, New York, NY. Respondent Bane of America Securities,

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 06-01357 Ryan Beck & Co., Inc., (Claimant) vs. Jeffrey Herb, (Respondent) ATTORNEYS: For Claimant appeared Jennifer Woods Burke, Esq., of the firm Lubiner & Schmidt, Cranford, NJ. For Respondent appeared Kevin J. Sommar, Esq., of the firm Sommar, Tracy & Sommar, Lansdale, PA. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: March 15, 2006 CASE SUMMARY: Claimant alleged tha