N A S D AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Leonard Thigpen and Rhoda Thigpen vs. Case Number: 04-03612 Hearing Site: Chicago, Illinois Names of Respondents Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney. Inc., and Wade Lewis _ NATURE OF THE DISPUTE Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Leonard Thigpen and Rhoda Thigpen ("

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Winslow B. Schurman, Jr. (Claimant) vs. Commonwealth Financial Network, Eugene E. Ellison and Priscilla Hollenbeck (Respondents) Case Number: 04-02854 Hearing Site: Boston, Massachusetts Nature of the Dispute: Customer vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant Winslow B. Schurman, Jr., hereinafter referred to as "Claimant": Richard M. Gelb, Esq., Gelb

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Ken E. Parker, Claimant v. Anil Ishwar Jethmal and Gilford Securities, Inc., Respondents Anil Ishwar Jethmal and Gilford Securities, Inc., Counter-Claimants v. Ken E. Parker, Counter-Respondent Case Number: 04-02237 Hearing Site: San Francisco, California Nature of the Dispute: Customer v. Member and Associated Person Member and Associated Person v. Customer REPRE

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Robert Paul, Claimant v. Peter Shieh and Merrill Lynch Pierce Fenner & Smith Incorporated, Respondents Case Number: 04-02222 Hearing Site: San Francisco, California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: James Jay Seltzer, Esq. Law Offices of James J. Seltzer Emeryville, California For Respondent

Award NASD Dispute Resolution COPY In the Matter of the Arbitration Between: Mark Alloy, Claimant v. Mclaughlin, Piven, Vogel Securities, Inc. and Kevin Anders, Respondents Case Number: 04-00323 Hearing Site: San Francisco, California Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Brian M. Kandel, Esq. Book & Book, LLP Santa Cruz, California For Respondents: Joseph D'Elia, Esq.

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Timothy W. Mehallick, Individually and as Assignee of the claims of Lorna B. Stevens, Dian B. Brown, Wilma B. Reese and David B. Reynolds; and Louise B. Wise vs. Case Number: 05-01965 Hearing Site: Pittsburgh, Pennsylvania Names of Respondents A. G. Edwards & Sons, Inc. and James Durken NATURE OF THE DISPUTE Customers vs. Member Firm and As

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Gloria Stanley and Case Number: 05-01902 Hearing Site: Oklahoma City, Oklahoma Name of Respondent Morgan Stanley DW, Inc. NATURE OF DISPUTE Customer v. Member REPRESENTATION OF PARTIES Gloria Stanley ("Claimant") was originally represented by A. Daniel Woska, Esq., of Woska & Hayes, LLP, Oklahoma, City, Oklahoma, until September 15, 2005. Claimant

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant David H. Nelson, Trustee Bettye K. Sopher Living Trust, UADTD 03-10-00 vs. 05-01708 Chicago, Illinois Names of Respondents Prudential Equity Group, LLC f/k/a Prudential Securities, Inc. Kris Stelzner NATURE OF THE DISPUTE Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES David H. Nelson, Trustee Bettye K. Sopher Living Trust

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants Bernard Q. and Denise M. Madison, Ralph E. and Lynn M, Vanderloop, David J. and Jean A, Renard, David L. and Nancy J. Varga, and Larry J. and Karen Lufter and Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. Case Number: 05-00514 Hearing Site: Milwaukee, Wisconsin Customers v. Member NATURE OF DISPUTE REPRESENTATION OF PARTIES Berna

Stipulated Award NASD Dispute Resolution Kathleen Jolly vs. Legacy Financial Services, Inc. and Joseph R. Karsner, IV Case Number: 04-08561 Hearing Site: Baltimore, Maryland Nature of the Dispute: Customer vs. Member and Associated Person. RFPRESENITATIONI OF PARTIFS Claimant, Kathleen Jolly ("Claimant"), was represented by William B. Young, Esq., Hooper & Weiss, LLP, Orlando, Florida. Respondents, Legacy Financial Services, Inc. ("Legacy") and Joseph R