Award NASD Dispute Resolution In the Matter of the Arbitration Between: Michael Broom, Kevin Broom, and Andrea Broon\ Claimants v. Morgan Stanley DW Inc. and Kimberly Anne Blindheim, Respondents Case Number: 05-05019 Hearing Site: Seattle, Washington Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES For Claimants Michael Broom, Kevin Broom, and Andrea Broom: For Respondents Morgan Stanley DW Inc. and

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Elizabeth A. Cash, The Cash Family Trust "A", and The Cash Family Trust "B", Claimants v. Morgan Stanley DW Inc., Donald Gregory Munro, and Natasha Alana Miller, Respondents Case Number: 05-03549 Hearing Site: San Diego, California Nature of the Dispute: Customers v. Member and Associated Persons REPRESENTATION OF PARTIES For Claimants: Karen L. Rogan, Esq. The Law Offices o

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Doris M. Lener as Trustee of The Doris M. Lener Living Trust and 04-03211 Phoenix, Arizona Name of Respondents Morgan Stanley DW Inc. Edward G. Dulin, Jr. Nature of the Dispute: Customer vs, Member and Associated Person. REPRESENTATION OF PARTIES Doris M. Lener as Trustee of The Doris M. Lener Living Trust ("Claimant") was represented by Mark D. C

* NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 06-01003 William Thomas Molloy, (Claimant) vs. Edward D. Jones & Co. and Terry R. Bowman (Respondents) ATTORNEYS: Claimant appeared pro se, Grass Valley, CA. For Respondents appeared Lizabeth M. Conran, Esq., of the firm Greensfelder, Hemker& Gale, P.C., St. Louis, MO. NATURE OF DISPUTE: Customer v. Member and Associated Person DATE FILED: February 25, 2006 CASE SUMMARY: Claim

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Mark E. Stevenson and Joanne Stevenson-Bake, Claimants v. E*Trade Group, Inc., Respondent Case Number: 00-00820 Hearing Site: San Diego, California REPRESENTATION OF PARTIES For Claimants: James C. Ashworth, Esq. The Law Offices of James C. Ashworth, Esq. San Diego, California For Respondent: Ekwan E. Rhow, Esq. Bird, Marella, Boxer & Wolpert Los Angeles, Calif

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants Case Number: 05-01930 Charles and Margaret Zanders Name of the Respondents Hearing Site: Chicago, Illinois Merrill Lynch, Pierce, Fenner & Smith, Inc.; Citigroup Global Markets, Inc.; and, Michael Ronald Sparks NATURE OF THE DISPUTE Public Customers vs. Member Firms and Associated Person REPRESENTATION OF PARTIES Claimants Charles and Margaret Z

Award NASD Dispute Resolution In the Consolidated Matter of the Arbitration Between: Joseph R. Biondo vs. Citigroup, Inc. and Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. Case Number: 04-08255 Hearing Site: Philadelphia, PA and Smith Barney, a Division of Citigroup Global Markets, Inc. vs. Joseph R. Biondo, Biondo Asset Management, L.L.C., Gregory Lutfy and Eugenia Pavek. Case Number: 04-08747 Nature of the Dispute: Associated

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Charles Kenneth Cosentino, an Individual and Panther Technologies, Inc., Claimants vs. Merrill Lynch, Pierce, Fenner & Smith Incorporated and Daniel J. White, Jr., Respondents Case Number: 04-00773 Hearing Site: San Francisco, California Nature of the Dispute: Customers vs. Member and Associated Person REPRESENTATION OF PARTIES For Claimants: For Respondents:

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Nesreen N. AI-Anbar & Sultana Sultan vs. Sands Brothers & Co., Ltd., Robert V. Grille, Christopher J. Lee, Martin S. Sands, Steven B. Sands, Richard F. Sands, Christopher M. Silver, Daniel T. O'Connor and William A. lommi, Sr. Case Number 03-00531 Hearing Site: Philadelphia, PA Nature of the Dispute: Customers v. Member and Associated Persons. RFPRFSFMTATIOM OF PARTIFS

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Mildred R. Hood (Claimant) vs. Williams Capital Management, Inc. and Waterhouse Securities n/k/a TD Waterhouse Investor Services, Inc. (Respondents) Case Number: 05-02180 Hearing Site: Newark, New Jersey Nature of the Dispute: Customer vs. Non-Member and Member REPRESENTATION OF PARTIES Claimant Mildred R. Hood hereinafter referred to as "Claimant": Patrick D. Tobia, Esq., Cleme