Award NASD Dispute Resolution In the Matter of the Arbitration Between: j ames A. Lyons, Jr., James A. Lyons, Jr. IRA and Helen H. Lyons vs. Merrill Lynch, Pierce, Fenner & Smith, Inc. and Phua K. Young Case Number: 03-04172 Hearing Site: Philadelphia, PA Nature of the Dispute: Customers vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimants, James A. Lyons, Jr., James A. Lyons, Jr., IRA and Helen H. Lyons, hereinafter collect

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 06-01087 Paul M. Goldberg (Claimant) vs. TD Waterhouse Investor Services, Inc., Matthew Alpert and Megan Otlowski, (Respondents) ATTORNEYS: Claimant appeared pro se, Potomac, MD. For Respondents appeared in-house counsel, James J. Vihstadt, Esq., Bellevue, NE. NATURE OF DISPUTE: Customer v. Member and Associated Persons DATE FILED: February 24, 2006 CASE SUMMARY: Claimant alleged that R

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 06-00345 Renee Florin, (Claimant) vs. Costa Financial Securities, Inc., (Respondent) ATTORNEYS: " " " " " " " For Claimant appeared Robert H. Rex, Esq., of the firm Dickenson, Murphy, Rex & Sloan, Boca Raton, FL. For Respondent appeared in-house counsel Andrew Costa, Boca Raton. FL. NATURE OF DISPUTE: Customer vs. Member DATE FILED: January 23,2006 CASE SUMMA

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Edward Pistner and Linda Pistner (Claimants) vs. American Express Financial Advisors, Inc. (Respondent) Case Number: 05-03378 Hearing Site: Buffalo, New York Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimants Edward Pistner (E. Pistner) and Linda Pistner ("L Pistner") hereinafter collectively referred to as "Claimants": JoAnne Schultz, Esq., Williams

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 05-02682 Timothy P. Fant, and Lee Anna Fant Names of the Respondents Hearing Site: New Orleans, Louisiana American General Securities, Inc., and Leroy Jack Smith Nature of the Dispute: Customer v. Member and Associated Person. REPRESENTATION OF PARTIES Timothy P. Fant and Lee Anna Fant, hereinafter collectively referred to as "Claimant

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Duane W. Parrish and Karen J. Parrish, Claimants v. Merrill Lynch, Pierce, Fenner & Smith Incorporated and Susan Kay Levison, Respondents Case Number: 05-02297 Hearing Site: Seattle, Washington Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES For Claimants Duane W. Parrish and Karen J. Parrish: Derek Y. Brandt, Esq. Nicholas P. lavarone,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Dina Moskowitz Names of the Respondents Summit Brokerage Services, Inc. Capital Growth Financial, Inc Michael Scheurich Case Number: 05-01934 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Dina Moskowitz, hereinafter referred to as "Claimant": Scott Silver, Esq

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Robert J. Burgess, James Burgess, Conway Worldwide Ltd., D-Ram, Dimension Memory, JADIJO, Inc., Claimants v. Tom H. Martindale, William A. King, Raina L. Prigger, E*Offering, IDC Solutions, LLC, First Union Securities, Inc., Respondents Case Number: 01-02308 Hearing Site: Los Angeles, California Nature of Dispute: Customers v. Member Firms and Associated Persons REPRESENTATION O

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Larry R. Johnson and Pamela H. Johnson Names of the Respondents Citigroup Global Markets, Inc. (f/k/a Salomon Smith Barney), Michael J. Grace David Hobby Jack B. Grubman Case Number: 05-01762 Hearing Site: Orlando, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Larry R. Johnso

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Arthur J. Harrison, Jr. v. Morgan Stanley Dean Witter, Ray Wilbur Powell and Gregory Ray Powell Case Number: 05-01416 Hearing Site: Atlanta, Georgia Nature of the Dispute; Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Arthur J. Harrison, Jr., hereinafter referred to as "Claimant": Pat Huddleston II, Esq., Huddleston & Nohr, Marietta, Georgia