AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Dorothy P. Kring vs. Case Number: 05-06147 Hearing Site: Dallas, Texas Name of Respondent Pruco Securities, LLC NATURE OF THE DISPUTE Customer vs. Member REPRESENTATION OF PARTIES Dorothy P. Kring ("Claimant") was represented by Tricia L. Legittino, Esq., SimmonsCooper, LLC, East Alton, Illinois. Pruco Securities, LLC ("Respondent") was repre

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant/Counter-Respondent Jeffrey L. Lightfpot vs. Case Number: 05-05147 Hearing Site: Dallas, Texas Names of Respondents/Counterclaimants Southwest Texas Capital, LLC, f/k/a BrokerDeals.com, Inc. and BrokerDeals.com, LLC; and, Charles Lee Gallamore NATURE OF THE DISPUTE Associated Person vs. Member and Associated Person REPRESENTATION OF PARTIES

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Ralph Nugent and Marc Chambers vs. Case Number: 05-03883 Hearing Site: Dallas, Texas Name of Respondent SAL Financial Services, Inc. NATURE OF THE DISPUTE Customers vs. Member REPRESENTATION OF PARTIES Ralph Nugent ("Nugent") and Marc Chambers ("Chambers"), hereinafter collectively referred to as "Claimants," were represented by Jason B. Stephe

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Kathleen B. Keenan vs. Case Number: 04-07238 Hearing Site: Milwaukee, Wisconsin Names of Respondents Robert W. Baird & Co., Inc., Charles E. Hupe, and Ruth M. Kitzman NATURE OF DISPUTE Customer v. Member and Associated Persons REPRESENTATION OF PARTIES Kathleen B. Keenan ("Claimant") was represented by Kyle E. Hart, Esq., Fabyanske, Westra & H

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Pamela Madrid vs. Case Number: 04-06254 Hearing Site: Oklahoma City, Oklahoma Names of Respondents RBC Dain Rauscher, Inc. and Burton S. Lancaster, Sr. NATURE OF THE DISPUTE Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Pamela Madrid ("Claimant") was represented by Brian Guillorn, Esq., Napoli, Katser & Bern, LLP, New Yo

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Kevin Shaughnessy, Steve L. Cress, Rhonda Robinson, and Jonathon R. Lamkin vs. Case Number: 04-00199 Hearing Site: Houston, Texas Name of Respondent Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. NATURE OF THE DISPUTE Customers vs. Member REPRESENTATION OF PARTIES Kevin Shaughnessy, Steve L. Cress, Rhonda Robinson, and Jonathon

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 06-03391 Joseph L. Stefens and Susan P. Stefens, (Claimants) vs. Ameritrade, Inc., (Respondent) ATTORNEYS: Claimants appeared pro se, Emmaus, PA. For Respondent appeared in-house counsel James J. Vihstadt, Esq., Bellevue, NE. NATURE OF DISPUTE: Customers vs. Member DATE FILED: July 18, 2006 CASE SUMMARY: Claimants alleged that Respondent owes them dividends. Claimants maintained tha

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Catherine Tranchida (Claimant) vs. PNC Investments, LLC and Kenneth P. Wenger (Respondents) Case Number. 05-05047 Hearing Site: Newark, New Jersey Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant Catherine Tranchida hereinafter referred to as "Claimant": Richard A. Schnoll, Esq., Cohn Lifland Pearlman Herrmann & Knopf, LLP, Sadd

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Mary Beth Reymann (Claimant) vs. Sun Trust Securities, Inc. and Vincent Luongo (Respondents) Case Number: 05-04033 Hearing Site: Cleveland, Ohio Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant Mary Beth Reymann hereinafter referred to as "Claimant": Lawrence J. Scanlon, Esq., Scanlon & Co., L.L.C. and Gerald P. Leb,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Anna M. Rodrigues TTEE FBO Anna M. Rodrigues Lvg. Tr. u/a/d 05/26/00 (Claimant) vs. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney and Joseph Saporito (Respondent) Case Number: 04-07116 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Anna M. Rodrigues FBO Anna M. Rodrigues Lvg. Tr. u