Award NASD Dispute Resolution In the Matter of the Arbitration Between: Richard Baccaro and Merryl S. Baccaro (Claimants) vs. Citigroup Global Markets, Inc., and Jack Grubman (Respondents) Case Number: 03-06491 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Claimants Richard Baccaro ( M R. Baccaro") and Merryl S. Baccaro ("M. Baccaro") hereinafter collectively refe

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: David Chow Trust, Claimant v. Darren Wald and Prudential Securities Inc., Respondents Case Number: 01-02274 Hearing She: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: John B. Wallace, Esq. Wallace & Madden Los Angeles, California For Respondents: Charles B. LaChaussee, Esq. Prudential Securities, Inc. San Francisco, California CASE INFORM

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 06-01719 Artin Brock, (Claimant) vs. Edward D. Jones & Co., (Respondent) ATTORNEYS: Claimant appeared pro se, San Diego, CA. For Respondents appeared in-house counsel Lynette D. McDonald, Esq., St. Louis, MO. NATURE OF DISPUTE: Customer vs. Member DATE FILED: March 30, 2006 CASE SUMMARY: Claimant alleged that Respondent made unauthorized trades in his account, which deprived him of

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 06-01081 Janney Montgomery Scott, LLC, (Claimant) vs. William Todd, (Respondent) ATTORNEYS: For Claimant appeared in-house counsel James Creel, Esq., Philadelphia, PA. Respondent did not submit an Answer to the Statement of Claim. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: March 2, 2006 CASE SUMMARY: Claimant alleged that Respondent breached a contract by failing to repa

NASD DISPUTE RESOLUTION MODIFIED AWARD NASD DISPUTE RESOLUTION CASE: 05-05840 Aurvil G. and Norma F. Gladden, (Claimants) vs. Edward D. Jones & Co., (Respondent) ATTORNEYS: ~~ ~~ For Claimant appeared Chris Claassen, Esq., of the firm Burg Simpson Eldredge Hersh Jardine PC, Dallas, TX. For Respondent appeared Sandra B. Gallini, Esq., of the firm GreensfeWer, Hernker &Gate, P.C., St Louis, MO. NATURE OF DISPUTE: Customers vs. Member ~ DATE FI

Award NASD Dispute Resolution In the Matter of the Arbitration Between: S. NEAL and PHYLLIS J. GRAHAM, Case Number: 05-00624 FOR THEIR JOINT ACCOUNT AND CO-TRUSTEES OF THEIR LIVING TRUST ACCOUNT, Hearing Site: Indianapolis, Indiana PHYLLIS GRAHAM AS TRUSTEE OF HER IRA AND NEAL GRAHAM AS TRUSTEE OF HIS IRRA, Claimants, v. MERRILL LYNCH, PIERCE, FENNER & SMITH, INC., Respondents. Nature of the Dispute: Customers vs. Member Firm REPRESE

Award NASD Dispute Resolution In the Matter of the Arbitration Between: R. KENT BAKER and CNC SALES, INC., Case Number: 05-00204 Claimants, v. Hearing Site: Indianapolis, Indiana GOELZER INVESTMENT MANAGEMENT, INC., Respondent. Nature of the Dispute: Customers vs. Member REPRESENTATION OF PARTIES Claimants, R. Kent Baker ("Baker") and CNC Sales, Inc. ("CNC"), hereinafter collectively referred to as "Claimants": Patrick C Badell, Esq. of

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Alfred A. Tavoletti and 05-00044 Chicago, Illinois Name of Respondents Amerivet Securities, Inc. Martin Cabrera, Jr. Nature of the Dispute; Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Alfred A. Tavoletti ("Claimant") was represented by Andrew Stoltmann, Esq., Stoltmann Law Offices, Chicago, Illinois. Amerive

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Mary M. Massimo (Claimant) vs. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Kevin McGrath and Mark R. Phillips (Respondents) Case Number: 04-07327 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Persons REPRESENTATION OF PARTIES Claimant Mary M. Massimo hereinafter referred to as "Claimant": Cynthia Boyer Okrent, Esq., Cul

Stipulated Award NASD Dispute Resolution !n the Matter of the Arbitration Between: Lanek Limited, Kevin McCurdy, Howard Field and Jascan Investments, Inc., Claimants v. Morgan Stanley DW Inc., Antony Gordon and Margaret Black, Respondents Case Number: 04-00435 Hearing Site: San Francisco, California Nature of the Dispute: Customers v. Member and Associated Persons REPRESENTATION OF PARTIES For Claimants: Timothy A. Canning Richard Sacks Law Offi