Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 05-03410 Wachovia Securities, LLC. Name of the Respondent Hearing Site: Atlanta, Georgia Eugene Joseph Enders, Jr. Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Wachovia Securities, LLC., hereinafter referred to as "Claimant": Jonathan E. Levine, Esq., Law Office of Daniel S. Fiore, Arlington, Virginia.

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Citigroup Global Markets, Inc. and Case Number: 05-03408 Hearing Site: Houston, Texas Name of Respondent Richard Brett Guillory NATURE OF DISPUTE Member Firm v. Associated Person REPRESENTATION OF PARTIES Citigroup Global Markets, Inc. ("Claimant" or "Citigroup") was represented by Carolyn Roch, Esq., Schirrmeister, Diaz-Arrastria, Brem, LLP, Hous

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC, CASE:01-00590 Lynn Schable, claimant vs. Ron Bjornson, respondent. ATTORNEYS: Claimant appeared Pro Se, Boise, ID. For Respondent appeared Diane K. Goelbeck, Esq., of the firm Hinton & Roth, Seattle, WA. DATE FILED: November 14, 2000 CASE SUMMARY: Claimant alleged that respondent failed to execute a buy order of the World Com stock thereby causing a loss in the claimant's account. Claim

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Lee Greenberg, Claimant v. Chanchal Mehta, Anthony Pace, Georganne E. Detweiler-Voyles, Jeffrey J. Cannella, and Roland P. Sturgill, Jr., Respondents Case Number: 05-03390 Hearing Site: San Francisco, California Nature of the Dispute: Customer v. Associated Persons REPRESENTATION OF PARTIES For Claimant: Irwin Stein Timothy A. Canning, Esq. Attorney at Law Novato, Califo

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Robert Kaimowitz (Claimant) vs. HD Brous & Company, Inc. (Respondent) Case Number: 05-03384 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member REPRESENTATION OF PARTIES Claimant Robert Kaimowitz hereinafter referred to as "Claimant": Eric Rosenberg, Esq., Altman & Company, P.C., New York, NY. Respondent HD Brous & Company, Inc., hereinafter refe

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-03383 Woody Judson Bender, Jr., Aline Wiley Bender and Ann B. Miller, (Claimants) vs. Edward D. Jones & Co. and William A. McDonough, (Respondents) ATTORNEYS! For Claimants appeared William R. McCandless, Esq., Attorney at Law, Ridgeland, MS. For Respondents appeared David J. Simmons, Esq., of the firm Greensfelder, Hemker & Gale, P.C., St. Louis, MO. NATURE OF DISPUTE: Customers v. Memb

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-03380 Theodore J. Stephens, (Claimant) vs. Citigroup Global Markets, Inc., (Respondent) ATTORNEYS: Claimant appeared pro se, Gumming, IA. For Respondent appeared in-house counsel James S. Goddard, Esq., New York, NY. NATURE OF DISPUTE: Customer vs. Member DATE FILED: June 26, 2005 CASE SUMMARY: Claimant alleged that Respondent negligently handled his account. Claimant further alleged

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Burrell Allen and Helen Allen as Trustees of the Allen Living Trust, Claimant v. RBC Dain Rauscher Inc. and Robert L. Posner, Respondents Case Number: 05-03363 Hearing Site: Seattle, Washington Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Randy S. Cohn, Esq. Nicholas P. lavarone, Esq. Simmons Cooper LLC East Alto

Award NASD Dispute Resolution COPY In the Matter of the Arbitration Between: WM Financial Services, Inc., Claimant v. Aaron Thomas Leone, Michael Wayne Hobson, Heather Oliver Hofland, Techi Carreon Jacobs, Maria Selina Reyes and Wells Fargo Investments, LLC, Respondents Aaron Thomas Leone, Michael Wayne Hobson, Heather Oliver Hofland, Techi Carreon Jacobs, Maria Selina Reyes and Wells Fargo Investments, LLC, Counter-Claimants v. WM Financial Service

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 05-03336 Southwest Securities, Inc. Name of the Respondent Hearing Site: Dallas, Texas Edward Frederick Spori, IV NATURE OF THE DISPUTE Member Firm vs. Associated Person REPRESENTATION OF PARTIES Claimant Southwest Securities, Inc., hereinafter referred to as "Claimant": John E. Dees, Jr., Esq., located in Trinidad, Texas. Respondent