Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names nf thft Claimants David A. Wecker Constance J. Wecker Names nf the Respondents Deutsche Bank Securities, Inc. William W. Sutton, H rase Number- 03-08432 aring Site! Charlotte, North Carolina Nature of the Dispute: Customers vs. Member and Associated Person. RF.PRP.SRNTATTON OF PARTTF.S Claimants David A. Wecker and Constance J. Wecker, hereinafte

Award NASD Dispute Resolution In the Matter of the Arbitration Between: David Zatt and Ilene Zatt (Claimants) v. Salomon Smith Barney, Inc. n/k/a Citigroup Global Markets, Inc., Scott Zelniker, John Martin, Robert S. Matthews, and Mary Santoro (Respondents) Case Number: 01-02259 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimants David Zatt and Ilene Zatt ("The Zatt

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Mark Family Partnership dtd. 6/6/94 (Claimant) v. Salomon Smith Barney, Inc. n/k/a Citigroup Global Markets, Inc., William F. Dodge, Howard Guggenheim and Paul Jay Abrams (Respondents) Case Number: 03-08097 Hearing Site: New York, New York Nature of the Dispute: Customer v. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant Mark Family Partnership dtd.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-03347 Switzer and Sons Family Partnership, L.P. (Consolidated with 03-03361 Switzer Brothers Charitable Foundation and 03-03362) Robert Brent Switzer Charitable Remainder Unitrust Dated February 27, 1997 Robert B. Switzer Names of the Respondents Hearing Site: New Orleans, LA Deutsche Bank Securities, Inc. DB Alex. Brown DBAIex.

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Chase Investment Services Corp. (Claimant) vs. Philip Rutigliano and HSBC Securities (USA), Inc. (Respondents) Case Number: 06-02588 Hearing Site: New York, New york Nature of the Dispute: Member vs. Associated Person and Member REPRESENTATION OF PARTIES Claimant Chase Investment Services Corp., hereinafter referred to as "Claimant": Thomas Cahill, Esq., Satterlee Ste

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 06-01070 Lori Marie Arrowsmrth, (Claimant) vs. American Funds Distributors, Inc., (Respondent) ATTORNEYS: Claimant appeared pro se, Pendleton, IN. For Respondent appeared Dana D. Howells, Esq., of the firm Capital Group Companies, Los Angeles, CA. NATURE OF DISPUTE: Associated Person vs. Member DATE FILED: March 1, 2006 CASE SUMMARY: Claimant alleged that she was wrongfully terminated f

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Gerald Montiel, Claimant v. Newbridge Securities Corporation and Randall Scott Humphrey, Respondents Case Number: 05-05368 Hearing Site: San Diego, California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Paul Kennerson, Esq. John K. Grant, Esq. Kennerson & Grant, LLP San Diego, California For Respondent Newbr

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Charles Schwab & Co., Inc., Claimant v. Senping Chang, Respondent .•HWi"'"---' Senping Chang, Counter-Claimant v. Charles Schwab & Co., Inc., Counter-Respondent Case Number: 05-03683 Hearing Site: Los Angeles, California Nature of the Dispute: Member v. Customer Customer v. Member REPRESENTATION OF PARTIES For Claimant / Counter-Respondent (hereinafter "Claima

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Merline C. Learning and GLFP, LTD., Claimants v. Prudential Equity Group, LLC f/k/a Prudential Securities Incorporated, and Wachovia Securities, LLC, Respondents Case Number: 05-02566 Hearing Site: Salt Lake City,Utah Nature of the Dispute: Customers v. Members REPRESENTATION OF PARTIES For Claimants: Mark J. Appteton, Esq. Robinson Waters & O'Dorisio Denver, Colorado

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Linda Frank and Names of Respondents Wachovia Securities, LLC and Lombard Securities, Inc. Case Number: 04-03957 Hearing Site: Houston, Texas NATURE OF DISPUTE Customer v. Member Firms REPRESENTATION OF PARTIES Linda Frank ("Claimant") was represented by Enrique G. Sema, Esq., Serna & Associates, PLLC 5 San Antonio, Texas. Wach