AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Joseph and Brenda Williams and 05-02506 Kansas City, Missouri Names ot Respondents American Century Investment Services, Inc., Oppenheimer & Co. Inc. and Bradley Dean See NATURE OF DISPUTE Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Joseph and Brenda Williams ("Claimants") were represented by Barry D. Estell, Esq.,

Award NASD Dispute Resolution COPY In the Matter of the Arbitration Between: William Feinstein, Claimant v. Merrill Lynch, Pierce, Fenner & Smith, Incorporated, Respondent Case Number: 05-02377 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member REPRESENTATION OF PARTIES For Claimant: William Feinstein, Esq. Law Offices of William Feinstein Newbury Park, California For Respondent: Robert B. Ericson, Esq. B

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 05-02292 Dolores Theresa Hanna TTEE U/A DTD 8/30/2002 by Frank Charles Hanna FL INT TAX TRUST PLEDGED COLLATERAL ACCT - MLL Frank Charles Hanna TTEE U/A DTD 5/18/1995 by Frank Charles Hanna Revocable Trust Dolores Theresa Hanna TTEE U/A DTD 5/18/1995 by Dolores Theresa Hanna Revocable Trust Dolores Theresa Hanna TTEE U/A DTD 5/

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Joseph Toboni, Mary Toboni, and JT Builders, Claimants v. Milestone Financial Services, Inc. and Robert Anthony Cassino, Respondents Milestone Financial Services, Inc. and Robert Anthony Cassino, Counter-Claimants v. Joseph Toboni, Mary Toboni, and JT Builders, Counter-Respondents Case Number: 04-07926 Hearing Site: San Francisco, California Nature of the Dispute: Customers v. M

Award NASD Dispute Resolution In the Matter of the Arbitration Between: John A. Fenwick (Claimant) vs. Merrill Lynch, Pierce, Fenner & Smith, Inc., James D. Harris, and Robert D. Travis (Respondents) Case Number: 04-07582 Hearing Site: East Charleston, West Virginia Nature of the Dispute: Customer vs. Member and Associated Persons REPRESENTATION OF PARTIES Claimant John A. Fenwick hereinafter referred to as "Claimant": Robert A. Campbell, Esq., Farm

Stipulated Award NASD In the Matter of the Arbitration Between: John Battaglia, Claimant v. PaineWebber, Inc., Isadore Friedman and Teresa Mangines, Respondents Case Number: 01-02394 Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For John Battaglia, hereinafter referred to as "Claimant": Darren C. Blum, Esq., Law Offices of Darren C. Blum, Plantation, FL. For Paine Webber, Inc. ("PW"), Isadore Friedman ("Friedman") and Teresa Mangines

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Robert W. Carey vs. Legacy Financial Services, Inc. and Joseph R. Karsner, IV Case Number: 04-06068 Hearing Site: Baltimore, MD Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant, Robert W. Carey ("Claimant"), was represented by William B. Young, Esq., Hooper & Weiss, LLP, Orlando, Florida. Respondents, Legacy Financia

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 04-05057 Larry M. Lance Judy W. Lance Judy W. Lance IRA Names of the Respondents Hearing Site: Charlotte, North Carolina Prudential Equity Group, LLC Wachovia Securities, LLC Prudential Financial, Inc. (a subsidiary of The Prudential Insurance Company of America) James Tracy Stines Nature of the Dispute: Customer vs. Member and

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Eleanor Hilowitz (Claimant) vs. Salomon Smith Barney, Inc, n/k/a Citigroup Global Markets, Inc. and David Williams Securities (Respondents) Case Number: 04-04143 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Members REPRESENTATION OF PARTIES Claimant Eleanor Hilowitz hereinafter referred to as "Claimant": Seth E. Lipner, Esq., Deutsch & Lipner, Garden City

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Nasreen M. Jalil and 04-03649 Chicago, Illinois Name of Respondents Merrrill Lynch Pierce Fenner & Smith, Inc. Walter Charles Szturma Merrill Lynch & Company Nature of the Dispute: Customer vs. Member, Associated Person and Non-Member. REPRESENTATION OF PARTIES Nasreen M. Jalil ("Claimant") was represented by Robert E. Thompson, Esq., T