N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Prudential Securities, Inc. 94-01999 Name of Respondent Byron C. Wiswell CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 1, 1994, Claimant Prudential Securities, Inc., through its representative and in-house counsel, Denis J. McCarthy, Esq., New York, N.Y., alleged that Respondent

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Aspen Capital Group 94-01998 Name of Respondent J.B. Oxford & Company CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 1, 1994, Claimant Aspen Capital Group, through its representative and Vice President, Robert V. Sherman, Esq., alleged that Respondent J.B. Oxford & Company, e

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Vladimir Kagalovsky 94-01994 Wall Street Equities, Inc. Claimant Vladimir Kagalovsky ("Claimant") appeared pro se. For Respondent Wall Street Equities, Inc. ("Respondent 1 ') appeared Ronald R. Berti, the Secretary/Treasurer of Wall Street Equities, Inc. located in New York, New York. CASE INFORMATION Statement of Claim

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Joan M. Panizza IRA and Panizza Family Trust A & B, Claimants v. FFP Securities, Inc., Elizabeth G. Norman, Douglas E. Norman and Retirement Specialists, Inc., Respondents Case Number: 01-03144 Hearing Site: Los Angeles, California For Claimants: For Respondent FFP Securities, Inc.: For Respondents Elizabeth G. Norman, Douglas E. Norman and Retirement Specialists, Inc.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-02230 Citigroup Global Markets, Inc. d/b/a/ Smith Barney Names of the Respondents Hearing Site: Tampa, Florida J. Tom King Walter Wood rick Raymond James & Associates, Inc. Nature of the Dispute: Member vs. Member and Associated Person. REPRESENTATION OF PARTIES For Citigroup Global Markets, Inc. d/b/a/ Smith Barney ("Citigroup or

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Case Number: 06-00892 Anthony Joseph Leonard Name of Respondent Hearing Site: Charlotte, North Carolina MFS Fund Distributors, Inc. Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES For Anthony Joseph Leonard ("Leonard"), hereinafter referred to as "Claimant": Joseph D. Singer, Esq., Singer Deutsch, LLP, New York, New

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-00731 Janet Blouin Name of Respondent Hearing Site: New Orleans, Louisiana Ameritrade, Inc. n/k/a J. P. Securities, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Janet Blouin appeared pro se. For Ameritrade, Inc. n/k/a J.P. Securities, Inc. ("Ameritrade"), hereinafter referred to as "Responden

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-00532 Stephens, Inc. Name of the Respondent Hearing Site: Memphis, Tennessee John Ballard Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Stephens Inc., hereinafter referred to as "Claimant": Jana Kim Keller, Esq., Associate General Counsel, Stephens, Inc., Little Rock, Arkansas. John Ball

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 05-05240 James G. Stahl Name of the Respondent Hearing Site: Baltimore, Maryland Ferris Baker Watts, Inc. Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES For James G. Stahl, hereinafter referred to as "Claimant": Edward C. Grassland, Esq., Grassland & Speis, LLC, Cumberland, Maryland. For Ferris Baker Watts

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Gemini Systems Corporation N.V. Names of the Respondents Citigroup Global Markets, Inc. Maura G. McGourty-Poiesz Kenneth H. Malloy Michael Marchassalla Case Number: 05-05237 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Gemini Systems Corporation N.V., her