Award NASD Dispute Resolution, Inc. . In the Matter of the Arbitration Between: Joseph Mannino v. Baxter Banks & Smith, Ltd. and Haskel P. Stone, III Case Number: 00-819 Hearing Site: Southfield, Michigan REPRESENTATION OF PARTIES Claimant, Joseph Mannino ("Mannino"), hereinafter referred to as "Claimant": David M. Foster, Esq., Farmington Hills, Michigan. Respondent, Baxter Banks & Smith, Ltd. ("BBS"), hereinafter referred to as "Respondent BBS": F

Award NASD Dispute Resolution In the Matter of the Arbitration Between: RBC Dain Rauscher Inc., Claimant v. Steven W. Hanna, Respondent Case Number: 05-05355 Hearing Site: Portland, Oregon Nature of the Dispute: Member v. Associated Person REPRESENTATION OF PARTIES For Claimant: Carolyn Guy, Esq. RBC Dain Rauscher Inc. Minneapolis, Minnesota For Respondent: Steve W. Hanna ProSe Bend, Oregon CASE INFORMATION Statement of Claim fil

Award NASD Dispute Resolution In the Matter of the Arbitration Between: John Steven Bat, Claimant v. Citigroup Global Markets, Inc. and Larry Neil Koenigsberg, Respondents Case Number: 05-04053 Hearing Site: Denver, Colorado Nature of the Dispute: Associated Person v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Kirk G. Smith, Esq. Shepherd, Smith & Edwards, LLP Houston, Texas For Respondents: Gregory S. Tamkin, Esq.

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants Melissa Sue Pierce, Eugene Craig Pierce, Jennifer L. Nelson and Melissa Sue Pierce individually and as joint account holder for Kurt R. Pierce and Case Number: 05-02412 Hearing Site: Chicago, Illinois Respondents A. G. Edwards & Sons, Inc. and Ronald Scott Endsley NATURE OF DISPUTE Customers v. Member and Associated Person REPRESENTATION OF PARTI

Award NASD Dispute Resolution Wesley E. Franklin and Carole A. Franklin vs. TIAA-CREF Individual & Institutional Services, LLC. Case Number: 05-01838 Hearing Site: Philadelphia, PA Nature of the Dispute: Customers vs. Member. REPRESENTATION OF PARTIES Claimants, Wesley E. Franklin and Carole A. Franklin, hereinafter collectively referred to as "Claimants", were represented by John J. McGovern, Jr., Esq., Scranton, Pennsylvania. Respondent, TIAA-

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Sol Edelstein (Claimant) vs. New York Life Insurance Company and New York Life Securities, Inc. (Respondents) Case Number: 05-01706 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member REPRESENTATION OF PARTIES Claimant Sol Edelstein ("Edelstein") hereinafter referred to as "Claimant": Andrew Himmel, Esq., Himmel & Bernstein, New York, NY. Res

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Joseph C. Fenech, individually and as Trustee, Joseph C. Fenech P.O. Profit Sharing Plan Dated 5/7/98 and 05-01679 Chicago, Illinois Name of Respondents Morgan Stanley DW Inc. Robert Jon Herboth Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Joseph C. Fenech, individually and as Trustee Joseph C. Fenech

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Dean Heinemann (Claimant) v. Oppenheimer & Co.., Inc. (Respondent) Case Number: 05-00989 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member REPRESENTATION OF PARTIES Claimant Dean Heinemann ("Claimant") hereinafter referred to as "Claimant": Douglas R. Hirsch, Esq., Sadis & Goldberg, LLC, New York, NY. Respondent Oppenheimer & Co., In

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-07833 Blossom Popkin Name of the Respondent Hearing Site: Boca Raton, Florida Morgan Stanley Dean Witter, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Blossom Popkin, hereinafter referred to as "Claimant": Sean M. Keane, Esq., SimmonsCooper LLC, East Alton, Illinois. For Morgan Stanley Dean Witter, In

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 04-00028 Harold A. Asher as Succession Representative of the Estate of Harold Otis Wright Audrey D. Wright Names of the Respondents Hearing Site: New Orleans, Louisiana A.G. Edwards & Sons, Inc. Morgan Stanley Dean Witter, Inc. f/k/a Dean Witter Reynolds, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIE