AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Floyd E. Austin and Case Number: 03-02884 Hearing Site: Nashville, Tennessee Respondents L.H. Ross & Company, Inc., Peter C. Dunne and Gary J. Redding NATURE OF DISPUTE Customer v. Terminated Member and Associated Persons REPRESENTATION OF PARTIES Floyd E. Austin ("Claimant") was represented by Michael S. Lattier, Esq., Hunter, Smith & l I P, Kingspor

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 06-00354 Bane of America Investment Services, Inc., (Claimant) vs. Michael A. Piranian, (Respondent) ATTORNEYS: For Claimant appeared Diane C. Fischer, Esq., of the firm Kane & Fischer, Ltd., Chicago, IL. Respondent did not submit an Answer to the Statement of Claim. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: January 23, 2006 CASE SUMMARY: Claimant alleged that Respo

NASD DISPUTE RESOLUTION MODIFIED AWARD NASD DISPUTE RESOLUTION CASE: 05-03978 Connie Cole, (Claimant) vs. Citigroup Global Markets, Inc. and Jack B. Grubman, (Respondents) ATTORNEYS: For Claimant appeared Robert R. Riley, Esq., of the firm Riley and Jackson, P.C., Birmingham, AL. For Respondents appeared Mark L. Parmelee, Esq., of the firm Greenberg Traurig, PA, New York, NY. NATURE OF DISPUTE: Customer v. Member and Associated Person DATE F

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Wayne Alofs, Virginia Alofs, and Virginia Aloffs Trust And 05-02165 Chicago, Illinois Name of Respondents Robert W.Baird &Co., Inc. Paul Kuiper Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Wayne Alofs, Virginia Alofs, and Virginia Aloffs Trust ("Claimants") were represented by Andrew Stoltmann, Esq.,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Edward D. Crary, Jr., Claimant v. Donald A. Itzen, Choice Investments, Inc., Vivian D. Jackson, James G. Kaighin, Michael J. Hundley and James G. Kaighin, Jr., Respondents Case Number: 05-02949 Hearing Site: Phoenix, Arizona Nature of the Dispute: Associated Person v. Member and Associated Persons REPRESENTATION OF PARTIES For Claimant: Kevin B. Harris, Esq. Kirkpatrick& Har

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Brian and Catherine Egan JTWROS, Catherine Egan IRA, Brian Egan, Brian Egan IRA, Catherine Egan as Custodian for Amanda Egan UTMA, Catherine Egan as Custodian for Andrew Egan UTMA, and Corporate Trade, Inc. (Claimants) vs. Brookstreet Securities Corp., John Elwin, Jason Woessner and Stanley C. Brooks (Respondents) Case Number: 05-2357 Hearing Site: New York, New York Nature of the D

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Mauricia Molnar And 04-05746 Chicago, Illinois Name of Respondents Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney Inc. d/b/a Smith Barney William David Hobby MichaelJay Grace Phillips L. Spartis Nature of the Dispute: Customer vs. Member and Associated Persons. REPRESENTATION OF PARTIES Mauricia Moinar ("Claimant") was represent

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Olivia Lanfair on behalf of her IRA, Case Number: 05-01662 Claimant, v. Hearing Site: St. Louis, Missouri UBS Financial Services, Inc. and Kenneth George Neely, Respondents, Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Olivia Lanfair on behalf of her IRA ("Lanfair"), hereinafter referred to as "Claimant": Stuart R. Berkowitz,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Claimant r^^]sfi irn hpr- 01-02331 Dennis J. Murphy n f th? PFSp""dp!fli H^^g ^jtC' Philadelphia, PA Vanguard Brokerage Services Claimant, Dennis J. Murphy ("Murphy"), hereinafter referred to as "Claimant": Daniel Bernheim, Esq. Silverman Bernheirn & Vogel, Philadelphia, PA. Respondent, Vanguard Brokerage Services ("Vanguard"), hereinafter referred to as "Respondent"

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-06604 Wells Fargo Investments, LLC, (Claimant) vs. Joshua R. Ballinger, (Respondent) ATTORNEYS^ For Claimant appeared Diane C. Fischer, Esq., of the firm Kane & Fischer, Ltd., Chicago, IL. Respondent did not submit an Answer to the Statement of Claim. NATURE OF DISPUTE: Member v. Associated PersorT "~~ DATE FILED: December 23,2005 CASE SUMMARY: Claimant alleged that Respondent breach