Award NASD Dispute Resolution In the Matter of the Arbitration Between: flflimant ' • . Case_NumhcC 06-01498 Stifel, Nicolaus & Co., be, Names f fat* Robert W. Baird & Co., Inc. BryceW.Rowe Site* Richmond, Virginia Nature of the Dispute: Member vs. Member and Associated Person- ' OtT PARITIES Stifel, Nicolaus & Co., Inc. ("Stifel"), hereinafter referred to as "ClainiiiBr, was represented by Jeffrey J. Kalinowski, Esq., Blackwell Sanders

AWARD NASD DISPUTE RESOLUTION In the Matter of the Arbitration Between; Dr. Paul Rankin vs. Brundyn Securities, Inc. Case Number 06-00996 SITUS: Pittsburgh, Pennsylvania NATURE OF PISPUTE: Customer v. Member. REPRESENTATION OF PARTIES Claimant Dr. Paul Rankin, hereinafter referred to as "Claimant", was represented by Peter A. McClenahan, Esq., Streib & McClenahan, Attorneys at Law. Pittsburgh, Pennsylvania. Respondent, Brundyn Securites, Inc

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Farnum Alston, individually and as trustee of the Farnum Alston IRA Combination Account, the Resources Company Defined Benefit Plan U/A 01/31/96 FBO Farnum Alston, the Resources Foundation, and the Friends of Langley Porter Institute - Edwin F. Alston Memorial Fund, Claimants v. Morgan Stanley Dean Witter Online, Inc. (formerly known as Discovery Brokerage Direct, Inc., and now known as

Award NASD Dispute Resolution In the Matter of the Arbitration Between: of thf» riaitnanfg Case Number 06-00842 IFMG Securities, Inc. Independent Financial Marketing Group, Inc. IPS Agencies, Inc. nf tV>p PespnnHpntg Hearing Site* Philadelphia, Pennsylvania Countrywide Investment Services, Inc. Christopher Urso Nature of the Dispute: Member and Non-Members vs. Member and Associated Person. KFPKFSFNT ATTON OF PAKTTFS Claimants, IFMG Secur

AWARD NASD DISPUTE RESOLUTION In the Matter of the Arbitration Between: Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. (Claimant) vs. Robert A. Noble, (Respondent) Case Number: 06-00703 SITUS: Atlanta, Georgia. NATURE OF DISPUTE: Member vs. Associated Person. REPRESENTATION OF PARTIES: Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc., hereinafter referred to as "Claimant": Gregory R. Crochet, Esq. and Joyce M. Moc

' NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 06-00623 Ruth Solomon, (Claimant) vs. Richard Shelter, (Respondent) ATTORNEYS: Claimant appeared pro se, Naples, FL For Respondent appeared Wachovia Securities' in-house counsel, Ryan P. Smith, Richmond, VA. NATURE OF DISPUTE: Customer vs. Associated Person DATE FILED: February 8, 2006 . __£ CASE SUMMARY: Claimant alleged that Respondent did not follow instructions to exec

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 06-00214 National Securities Corporation, (Claimant) vs. Louis Valdez, (Respondent) ATTORNEYS: For Claimant appeared Michael S. Colombo, President and CEO of StreetWide Asset Recovery Group, Inc., Lyndhurst, NJ. Respondent appeared pro se, Brooklyn, NY, NATURE OF DISPUTE: Member v. Associated Person DATE FILED: January 13, 2006 CASE SUMMARY: Claimant alleged that Respondent breached an

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 06-00140 Oppenheimer & Co., Inc., (Claimant) vs. Jimmy But, (Respondent) ATTORNEYS: ~~~" For Claimant appeared in-house counsel Eric J. Shames, Esq., New York, NY. Respondent did not submit an Answer to the Statement of Claim. NATURE OF DISPUTE: Member v. Associated Person DATE FJLED: January 10,2006 CASE SUMMARY: Claimant alleged that Respondent breached an employment contract by faili

NASD DISPUTE RESOLUTION STIPULATED AWARD NASD DISPUTE RESOLUTION CASE: 06-00098 Kirk M. Hardiman, (Claimant) vs. Piper Jaffiay & Company, (Respondent) ATTORNEYS: Claimant appeared pro se, Danville, CA. For Respondent appeared Steven M. Phillips, Esq., of the firm Anthony Ostlund & Baer, P.A., Minneapolis, MN. NATURE OF DISPUTE: Associated Person vs. Member DATE FILED: January 5, 2006 CASE SUMMARY: Claimant requested an Order expunging certain la

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 06-00095 Philip Lee Black, (Claimant) vs. Timothy Martin Foster, (Respondent) ATTORNEYS: Claimant appeared pro se, Fleetwood, PA. Respondent appeared pro se, Germansville, PA. NATURE OF DISPUTE: Associated Person vs. Associated Person DATE FILED: December 29, 2005 CASE SUMMARY: Claimant alleged that Respondent breached a contract by failing to repay monies owed for compensation. Claiman