Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Virgie Hyle and Beverly Bamhart v. Legacy Financial Services, Inc. and Joseph R. Karsner, IV. Case Number. 04-08296 Hearing Site: Washington, DC Nature of the Dispute: Customers vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimants, Virgie Hyle and Beverly Barnart, hereinafter collectively referred to as "Claimants", were represented by William B. Youn

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-08055 National Securities Corporation (Claimant) v. Sunny Dcwue (Respondent) ATTORNEYS: For Claimant National Securities Corporation ("Claimant") appeared Michael S. Colombo, President, Streetwide Asset Recovery Group, Inc., New York, NY. Respondent Sunny Ikwue ("Respondent") did not submit a Statement of Answer in this matter. NATURE OF DISPUTE: Member v. Associated Person. DATE FILED

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 01-03109 Richard E. Antkowiak, Claimant vs. E*Trade Securities, Inc., Respondent. ATTORNEYS: Claimant, Richard E. Antkowiak, appeared pro se, Auburn, MA. For Respondent, E*Trade Securities, Inc., appeared Colleen Wink, Compliance Analyst, of E*Trade Securities, Inc., Rancho Cordova, CA. DATE FILED: June 12, 2001 CASE SUMMARY: Claimant alleged that respondent was negligent in providing

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Vinoy Sood and Krishna Sood (Claimants) vs. UBS Financial Services, Inc., Successor in Interest to PaineWebber, Inc., Peter Cleary, William R. Lee and Michael O'Neil (Respondents) Case Number: 04-07938 Hearing Site: Cleveland, Ohio Nature of the Dispute: Customers vs. Member and Associated Persons REPRESENTATION OF PARTIES Claimants Vinoy Sood ("V. Sood") and Krishna

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants Robert Lynn Pourchot, Trustee of the Robert Lynn Pourchot Trust; Donald W. Orr, Trustee of the Pork Chop Trust; The Will Foundation; Pourchot Investments LP; Phillip M. Pourchot, Trustee of the Phillip M. Pourchot Revocable Trust and Robert L. Talley and Pamela J. Talley and Case Number: 04-07933 Hearing Site: Oklahoma City, Oklahoma Respondents AXA Advisors

NASD DISPUTE RESOLUTION'A WARD NASD DISPUTE RESOLUTION CASE: 04-07847 Iris Asbury, (Claimant) vs. UBS Financial Services, Inc., (Respondent) ATTORNEYS: For Claimant appeared William J. King, Esq., of Law Offices of William J. King, Irvine, CA. For Respondent appeared in-house counsel Ted W. Lieu, Esq., Los Angeles, CA. NATURE OF DISPUTE: Customer vs. Member DATE FILED: November 15,2004 CASE SUMMARY: Claimant alleged that Respondent breached thei

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-07613 Randall Bruce Barlow Name of the Respondent Hearing Site: Boca Raton, Florida SunAmerica Securities, Inc. Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES For Randall Bruce Barlow, hereinafter referred to as "Claimant": Carl F. Schoeppl, Esq., Schoeppl & Burke, P.A., Boca Raton, Florida. For SunAmer

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Edward Moser and 04-074t)3 Chicago, Illinois Name of Respondents Citigroup Global Markets, Inc. Jack B. Grubman Daniel John Moynihan Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Edward Moser ("Claimant") was represented by Sandor L. Grossman, Esq., Chicago, Illinois, Citigroup Globa

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-07161 Gerald C. Stokes Names of the Respondents Hearing Site: Orlando, Florida Raymond James Financial Services, Inc. Raymond James & Associates, Inc. Richard Benoit Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Gerald C. Stokes, hereinafter referred to as "Claimant": Bruce G. Kaufmann

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number. 04-06348 Sterne, Agee & Leach, Inc. Name of the Respondent Hearing Site: Birmingham, Alabama Richard Williams Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Sterne, Agee & Leach, Inc. ("SAL"), hereinafter referred to as "Claimant": Patricia C. Diak, Esq., Haskell, Slaughter, Young & Rediker, LLC, Birmingha