Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Kenneth E. Thompson, Kenneth E, Thompson as Trustee of the Kenneth E. Thompson Defined Benefit Pension Plan and Trust, and Donna Thompson, Claimants v. Bane of America Investment Services, Inc. and Nick W. Campbell, Respondents Case Number: 04-01080 Hearing Site: Los Angeles, California Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PAR

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Lawrence C. Mahoney, Jr. and Carole A. Mahoney JTWROS Names of the Respondents Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. Jack B. Grubman Case Number: 04-01025 Hearing Site: Orlando, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Lawrence C. Mahoney, Jr. and Car

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Michael D. Sullivan and Case Number: 05-01841 Hearing Site: Troy, Michigan Respondents Prudential Equity Group, Inc., f/k/a Prudential Securities, Inc., and Gregory R. Anderson NATURE OF DISPUTE Customer v. Member and Associated Person REPRESENTATION OF PARTIES Michael D. Sullivan ("Claimant") was represented by Anthony V. Trogan, Esq., Law Offices

Award NASD In the Matter of the Arbitration Between: Name of the Claimant Case Number: 01-02351 Richard H. Justice, Jr. Name of the Respondents Hearing Site: Chicago, Illinois Edward D. Jones & Co. and Bradley Barrett REPRESENTATION OF PARTIES Claimant, Richard H. Justice, Jr. ("Justice"): James Eccleston, Esq. and Ronald Amato, Esq. of the firm Shaheen, Novolesky, Staat & Filipowski located in Chicago, Illinois Respondents, Edward D. Jones & Co

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Apparel LTD, LLC, Claimant v. Citigroup Global Markets, Inc., Respondent Case Number: 05-05107 Hearing Site: Los Angeles. California Nature of the Dispute: Customer v. Member REPRESENTATION OF PARTIES For Claimant: Steven L. Miller, Esq. Law Offices of Steven L. Miller Encino, California For Respondent: Stacey M. Garrett, Esq. Keesal, Young & Logan Long Beach, Califo

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Bernice A. Cohen (Claimant) vs. Steven Auerfeld, Oppenheimer & Co., Inc. and CIBC World Markets Corp. (Respondents) Case Number: 05-01471 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Associated Person and Members REPRESENTATION OF PARTIES Claimant Bernice A. Cohen hereinafter referred to as "Claimant": Stuart S. Schachter, Esq. .New York, NY. Responde

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants Case Number: 04-06328 Dorothye A. Roten and Michelle M. Roten Name of the Respondents Hearing Site: Dallas, Texas Lehman Brothers Inc.; Sanders Morris Harris, Inc.; and, Anthony Benson Hall NATURE OF THE DISPUTE Public Customers vs. Member Firms and Associated Person REPRESENTATION OF PARTIES Claimants Dorothye A. Roten ("D. Roten") and Mich

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Citigroup Global Markets, Inc. v. 05-06242 Minneapolis, Minnesota Respondent Christopher D. Jones NATURE OF DISPUTE Member Firm v. Associated Person REPRESENTATION OF PARTIES Citigroup Global Markets, Inc. ("Claimant") was represented by Jessica E. Price, Esq., of Brouse McDowell, LPA, Cleveland, Ohio, Christopher D. Jones ("Respondent") appeared pro

Award In the Matter of the Arbitration Between: Charles E. Hill, Individually and on behalf of Yahoo Imports, Inc., n p 01-2350 jtf Houston, Texas Southwest Securities, Inc., Advantages Securities, Inc., Kelly Case and Lee Nguyen OF PAPTIF.S Charles E. Hill, ("Hill") Individually and on behalf of Yahoo Imports, Inc., ("Yahoo") hereinafter Collectively referred to as "Claimants": William S. Shepherd, Esq. of Shepherd, Smith and Bebel

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Richard E. McNamara, Maryanne McNamara, and Coril, Inc. f/b/o Richard E. McNamara, Claimants v. Merrill Lynch, Pierce, Fenner & Smith Incorporated, Respondent Case Number: 05-01925 Hearing Site: Seattle, Washington Nature of the Dispute: Customers v. Member REPRESENTATION OF PARTIES For Claimants Richard E. McNamara, Maryanne McNamara, and Coril, Inc. f/b/o Richard E. McNama