Award NASD Dispute Resolution In the Matter of the Arbitration Between: Norman Bulow (Claimant) vs. M.J. Whitman, LLC, David Barse, and Martin J. Whitman (Respondents) Case Number: 04-06877 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant Norman Bulow hereinafter referred to as "Claimant": Theodore G. Eppenstein, Esq., Eppenstein and Eppenstein, New York,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Marlene Bertman (Claimant) vs. Citigroup Global Markets, Inc. (f/k/a Salomon Smith Barney, Inc.) and Bernard Wytko (Respondents) Case Number: 04-04796 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Marlene Bertman hereinafter referred to as "Claimant" appeared pro se. Previously represented by

Award NASD Dispute Resolution In the Matter of the Arbitration Between: John J. Callanan (Claimant) v. UBS Financial Services, Inc., William B. Savino and John Borgese (Respondents) Case Number: 04-04384 Hearing Site: Newark, New Jersey Nature of the Dispute: Customer vs. Member and Associated Persons REPRESENTATION OF PARTIES Claimant John J. Callanan ("Claimant") hereinafter referred to as "Claimant": Peter S. Pearlman, Esq., Cohn Lilfand Pearlman

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Evelyn L. (Keller) Sullivan (Claimant) v. Paul R. Mata, IDS Life Insurance Company, and American Express Financial Advisors, Inc. (Respondents) Case Number: 04-03057 Hearing Site: Boston, Massachusetts Nature of the Dispute: Customer vs. Members and Associated Person. REPRESENTATION OF PARTIES Claimant Evelyn L. (Keller) Sullivan, hereinafter referred to as "Claimant": Richard W

* Award NASD Dispute Resolution In the Matter of the Arbitration Between: Washburne Capital Master Fund, Ltd., Washburne Capital Management, L.P., Washburne Capital Offshore Fund, Ltd., Washburne Capital Management, LLC (Claimants) v. ABN AMRO Securities, LLC, ABN AMRO Incorporated, ABN AMRO Bank N.V., UBS Securities LLC, and UBS Financial Services, Inc. (Respondents) Case Number: 03-07632 Hearing Site: New York, New York Nature of the Dispute: Customer

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Harry Webb and Mary Webb (Claimants) v. UBS PaineWebber, Inc., Sage, Rutty & Co., Joseph R. Tobin, Douglas Parker, and James Burke (Respondents) Case Number: 02-05012 Hearing Site: Buffalo, New York Nature of the Dispute: Customers vs. Members and Associated Persons. REPRESENTATION OF PARTIES Claimants Harry Webb ("H. Webb") and Mary Webb ("M. Webb") hereinafter collectively ref

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Flint Card, Claimant v. U.S. Bancorp Piper Jaflray, Inc. and John H. Gonnason, Respondents Case Number: 01-03128 Hearing Site: Seattle, Washington REPRESENTATION OF PARTIES For Claimant: Frank W. Birkholz, Esq. Law Offices of Frank W. Birkholz Seattle, Washington For Respondents: Lisa M. Bertain, Esq. Keesal, Young, & Logan San Francisco, California Statem

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Jon W. Salmanson, Lawrence H. Margolis, Bennett Mostel, Charles H. Wocdworth, Howard S. Klar, Frank M. Cordovano, Lawrence S. Loughlin, Stuart Solomon, and Roger W.A. Spillman (Claimants) vs. Prudential Securities Incorporated (Respondent) Case Number: 02-00641 Hearing Site: New York, New York Nature of the Dispute: Associated Persons vs. Member. REPRESENTATION OF PARTIES Claima

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 06-02078 Lillian Irvin and Lillian Irvin, IRA, (Claimants) vs. Janney Montgomery Scott, LLC, (Respondent) ATTORNEYS: For Claimants appeared Jean P. Hanna, Esq., of the firm Law Offices of McCausland, Keen & Buckman, Radnor, PA. For Respondent appeared in-house counsel Carrie L. Chelko, Esq., Philadelphia, PA. NATURE OF DISPUTE: Customers vs. Member DATE FILED: April 21, 2006 CASE SU

NASD REGULATION NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 06-01157 Floyd Anthony Williams, (Claimant) vs. Legg Mason Wood Walker, Inc. and Paul J. Higgins, (Respondent) ATTORNEYS: Claimant appeared pro se, Salem, VA. For Respondents appeared in-house counsel Gretchen L. Klebasko, Esq., Baltimore, MD. NATURE OF DISPUTE: Customer v. Member and Associated Person DATE FILED: March 7, 2006 CASE SUMMARY: Claimant alleged that