Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-03069 The Variable Annuity Life Insurance Company Names of the Respondents Hearing Site: Atlanta, Georgia William Robert Joiner Kimberly Storch Joiner Nature of the Dispute: Non-Member vs. Associated Person, REPRESENTATION OF PARTIES For The Variable Annuity Life Insurance Company ("VALIC"), hereinafter referred to as "Claimant": Larr

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Webster Family Trust dtd 12/29/92, Darrell L. Webster and Barbara P. Webster, Claimants v. McDonald Investments, Inc., Respondent Case Number: 06-00352 Hearing Site: Salt Lake City, Utah Nature of the Dispute: Customers v. Member REPRESENTATION OF PARTIES For Claimants: Randall R. Heiner, Esq. Heiner Law Offices Salt Lake City, Utah For Respondent: Steven R. Maylnn, Esq.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Andrew S. Zucker SEP/IRA and Harriet R. Zucker SEP/IRA, Claimants v. Grattan Financial Securities, Inc., Warner Pacific Financial, Inc., Pamela H. Wilson, and Raymond L. Kotrozo, Respondents Case Number: 04-06212 Hearing Site: Los Angeles, California Nature of the Dispute: Customers v. Member, Non-Members, and Associated Person REPRESENTATION OF PARTIES For Claimants Andrew

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Josephthal & Co., Inc. (Claimant) v. Edward B. Haggerty (Respondent) Case Number: 03-01879 Hearing Site: New York, New York Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant Josephthal & Co., Inc. k/n/a Fahnestock & Co., Inc. hereinafter referred to as "Claimant": Noah Sorkin, Esq., Office of The General Counsel, Oppenheimer& Co.,

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 06-00382 Chad Alexander Lipovich, (Claimant) vs. Ameriprise Financial Services, (Respondent) ATTORNEYS: Claimant appeared pro se, Battle Ground, WA. For Respondent appeared Jeffrey H. Butwinick, Esq., Law Offices of Edgerton, Weaver & Irwin, L.L.C., Minneapolis, MN. NATURE OF DISPUTE: Associated Person vs. Member DATE FILED: January 20, 2006 CASE SUMMARY: Claimant alleged that Responden

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant William D. Connor and 01-02319 Denver, Colorado Name of Respondent First Union Securities, Inc. REPRESENTATION OF PARTIES William D. Connor ("Claimant") was represented by Jeffrey J. Scott, Esq., Head & Associates, P.C., Denver, Colorado. First Union Securities, Inc. ("Respondent") was represented by William D. Nelson, Esq., Rothgerber Johns

Stipulated Award NASD Dispute Resoiution In the Matter of the Arbitration Between: Elliot Aronson (Claimant) v. Barclays Capital Inc., Barclays Bank PLC, Michael Mazzei and Haejin Baek (Respondents) Case Number: 05-02135 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member, Non-Member and Associated Persons REPRESENTATION OF PARTIES Claimant Elliot Aronson hereinafter referred to as "Claimant": Daniel Turinsky, Esq.,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Case Number: 05-00347 Mary Torres Virginia Klinko Names of Respondents Hearing Site: Tampa, Florida Vestpoint Securities, Inc. First Liberty Group, LLC Charles Keith Byington John F, Fahey Clifford F. Bagnall Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Mary Torres ("Torres") and Virginia K

Award NASD Dispute Resolution In the Matter of the Arbitration Between: John Lambert and Heather Lambert (Claimants) vs. A.G. Edwards & Sons, Inc., and Frank M. Taylor (Respondents) Case Number: 04-06711 Hearing Site: Newark, New Jersey Nature of the Dispute: Customers vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimants John Lambert ("J. Lambert") and Heather Lambert ("H. Lambert"), hereinafter collectively referred to as "Claimant

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Timothy J. Cecchin, Claimant v. Patricia Tierney, Respondent Case Number: 05-06326 Hearing Site: San Francisco, California Nature of the Dispute: Associated Person v. Customer REPRESENTATION OF PARTIES For Claimant: Timothy N. Will, Esq. Albert & Will, LLP Torrance, California For Respondent: Michael Harrington, Esq. Law Offices of James Jay Seltzer Emeryv