Award NASD Dispute Resolution In the Matter of the Arbitration Between: Arthur Toppston, Claimant v. Citigroup Global Markets Inc. and Charles Arthur Goodman, Respondents Case Number: 05-05573 Hearing Site: Albuquerque, New Mexico Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Sam Bregman, Esq. The Bregman Law Firm, P.C. Albuquerque, New Mexico For Respondents: Raul Sanchez, Esq. C

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the Claimant Case Number- 01-02289 Rawls B. Morgan Name nf the Respondents Hearing Site: Washington, D.C. Voss & Company, Inc and Richard Schulze RF.PRF.SFNTATTON OF PARTTF.S Claimant, Rawls B. Morgan ("Morgan") was represented by John P. Connolly, Esq. and Ford C. Ladd, Attorneys at Law, Alexandria, Virginia. Respondents, Voss & Company, Inc. ("Voss") and Richard Sc

Award NASD Dispute Resolution COPY In the Matter of the Arbitration Between: Citigroup Global Markets Inc., Claimant v. Jeffrey A. Mascio and Brett W. Pieratt, Respondents Jeffrey A. Mascio and Brett W. Pieratt, Counter-Claimants v. Citigroup Global Markets Inc., Counter-Respondent Jeffrey A. Mascio and Brett W. Pieratt, Third Party Claimants v. Theodore Scott Fleming, Third Party Respondent Case Number: 05-05286 Hearing Site: Denver, Colorado

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Kenneth Spencer, Derek Lautato, Joseph Prudente and Nicholas Marzel!?. (Claimants) vs. Heartland Securities, Corp. (Respondent) Case Number: 05-04037 Hearing Site: New York, New York Nature of the Dispute: Associated Persons vs. Member. REPRESENTATION OF PARTIES Claimants Kenneth Spencer ("Spencer"), Derek Lautato ("Lautato"), Joseph Prudente ("Prudente") and Nicholas Marzella (

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 05-03547 Larry Frangos Linda Kosec George E. Ginnis and Nancy Ginnis Samuel J. Pitzulo and Janet M. Pitzulo Names of the Respondents Hearing Site: Pittsburgh, Pennsylvania Butler Wick & Co., Inc. John Luklan Nature of the Dispute: Customers vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Larry Frangos, Lind

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Paul and Helen Koons vs. Morgan Stanley DW, Inc., Garry Olson and James Martin Case Number: 05-03541 Hearing Sits- Philadelphia, PA Nature of the Dispute: Customers v. Member and Associated Persons. REPRFSENITATIQN QF PARTIES Claimants, Paul and Helen Koons, hereinafter collectively referred to as "Claimants", were represented by Byron L. Milner, Esq., King of Prussia, Pennsylvania.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Robert C. Ghioldi, Claimant v. Morgan Stanley DW Inc. and David A. Dyck, Respondents Case Number: 05-01771 Hearing Site: San Francisco, California Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: R. Ernest Montanari, Esq. Musacchio & Montanari, p.C. Walnut Creek, California For Respondents: Melissa M. Maccarone, Esq

Award NASD Dispute Resolution In the Matter of the Arbitration Between: •*" ' . A.G. Edwards & Sons, Inc., Claimant v. Christopher L. Pope, Respondent i Case Number: 04-08475 Hearing Site: Los Angeles, California Nature of the Dispute: Member v. Associated Person REPRESENTATION OF PARTIES For Claimant: Nancy A. Tayborn, Esq. A.G, Edwards & Sons, lnc r St. Louis, Missouri For Respondent: Christopher L. Pope In Propria Persona Sant

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Mark B. Frost and 04-05192 Nashville, Tennessee Name of Respondent Westcott Securities, LLC Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Mark B. Frost ("Claimant") was represented by Timothy L. Warnock, Esq. and Amy E. Neff, Esq., Bowen Riley Warnock & Jacobson, PLC, Nashville, Tennessee. Westcott Securities, LLC

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Maryneli Foran and Case Number: 04-05028 Hearing Site: Chicago, Illinois Respondents Morgan Stanley DW, Inc., and Steven Daugherty NATURE OF DISPUTE Customer v. Member and Associated Person REPRESENTATION OF PARTIES Maryneli Foran ("Claimant") was represented by Martin Q. Ryan, Esq. and Alec J. Miller, Esq., Mora, Baugh, Waitzman & Under, L