Award NASD Dispute Resolution In the Matter of the Arbitration Between: Helen Ann Duffy, Claimant v. SunAmerica Securities, Inc., Respondent Case Number: 05-05901 Hearing Site: Phoenix, Arizona Nature of the Dispute: Customer v. Member REPRESENTATION OF PARTIES For Claimant: Mark J. Michaud, Esq. The Michaud Law Group, LLC Eagle, Idaho For Respondent: Jason C. Roberts Esq. Law Offices of Edgerton & Weaver Hermosa Beach, California

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Robert J. Souza, Claimant v. Morgan Stanley DW Inc. and Steven G. Elefante, Respondents Case Number: 05-03647 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Randy S. Cohn, Esq. SimmonsCooper, LLC East Alton, Illinois For Respondents: James J. Fontanilla, Esq. Morgan Stanley

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants Sara L.. Perrine, Individually, and as executrix of the Estate of Scott B. Perrine, Nancy Perrine, and Carolyn Perrine Name nf tVie Respondents Merrill Lynch Pierce Fenner & Smith Inc., Frederick J. Hoey, Michael J. Schreiner, Francis J. Hoey, and The Hoey Group Niimhpr- 01-02290 Hearing Site- Philadelphia, Pennsylvania RFPRFSFMTATTON OF PAR

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Corporacion Financiera Del Valle S.A. (Claimant) vs. Merrill Lynch, Pierce, Fenner & Smith, Inc. (Respondent) Case__Nu_mber: 04-07679 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant Corporacion Financiera Del Valle ("Claimant"): Robert Lack, Esq., Friedman Kaplan Seiler & Adelman, New York, NY. Respondent Merrill

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Audrey T. Austin (Claimant) v. Citigroup Global Markets, Inc., f/k/a Salomon Smith Barney, Inc., and Brian F. Hayes (Respondents) Case Number. 01-05521 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant Audrey T. Austin ("Claimant") hereinafter referred to as "Claimant": David S. Markum,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 05-05336 Herbert and Joan Gottlieb Name of Respondent Hearing Site: Baltimore, Maryland Legg Mason Wood Walker, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Herbert and Joan Gottlieb, hereinafter collectively referred to as "Claimants": Randy S. Conn, Esq., SimmonsCooper, LLC, East Alton, Illinois. For

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Case Number: 05-02228 Joseph S. Manzi, Trustee, FBO Joseph S. Manzi Trust UAD 9/30/94 Names of Respondents Hearing Site: Tampa, Florida Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. Michael Freitag Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Joseph S. Manzi, Trustee, FBO Joseph S.

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Elissa J. Jenny (Claimant) vs. Allmerica Investments, Inc., Advest, Inc., Paul P. Hipsky, III and Constellation Capital Advisors (Respondents) Case Number: 03-07464 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Members, Associated Person and Non-Member REPRESENTATION OF PARTIES Claimant Elissa J. Jenny hereinafter referred to as "Claimant": William

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Peter Philips, Jeffrey Philips, and Ann Philips (Claimants) v. Citigroup Global Markets, Inc., Jack Grubman and Kevin Conway (Respondents) Case Number: 03-06702 Hearing Site: New York, New York Nature of the Dispute: Customers v. Member and Associated Persons. REPRESENTATION OF PARTIES Claimants Peter Philips, Jeffrey Philips, and Ann Philips hereinafter collectively refe

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Gilbert C. Varnes Jr. (Claimant) v. USAWianz Securities, Inc. (Respondent) Case Number: 06-00776 Hearing Site: Newark, New Jersey Nature of the Dispute: Associated Person v. Member REPRESENTATION OF PARTIES Claimant Gilbert C. Vamas, Jr., hereinafter referred to as "Claimant": Sheldon M. Rnkelstein, Esq., Podvey, Meaner, Catenacci, Hildner, Cocoziello & Chattman, Newark, NJ.