NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE:01-00302 Robert W. Baird & Co., Incorporated, claimant vs. Brett A. Virgin, respondent. ATTORNEYS: For Claimant appeared Brian D. Trexell, Esq., in-house counsel, Milwaukee, WI. For Respondent appeared Lawrence M. Merlin, Esq. of the firm Friedman, Dever & Merlin, LLC, Atlanta, GA. DATE FILED: January 19, 2001 CASE SUMMARY: Claimant alleged that respondent failed to submit monies owed

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Jila Ahdot, Claimant v. Salomon Smith Barney Inc. n/k/a Citigroup Global Markets Inc., Respondent Case Number: 04-06808 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member REPRESENTATION OF PARTIES For Clamant: Ida Ahdot In propria persona Encino, California For Respondent: Raul S&nchez, Esq. Citigroup Global Markets Inc. New York, New

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Hildred Levine, Individually, as Trustee and as Beneficiary of the Hildred Levine Revocable Trust, the Charles Levine Trust and the Fannie Milstein Revocable Trust Name of the Respondent Citigroup Global Markets, Inc. d/b/a Smith Barney Case Number: 04-06804 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member. REPRESE

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Richard C. and Anney M. Denney and Names of Respondents UBS Financial Services, Inc., and Thomas Wade Cummings Case Number: 04-06785 Hearing Site: Houston, Texas NATURE OF DISPUTE Customers v. Member Firm And Associated Person REPRESENTATION OF PARTIES , i ' * Richard 'C. and Anney M. Denney ("Claimants") were represented by Fran

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Robert W.Walker and Nancy W. Walker, individually and as co-trustees of the Robert W. Walker and Nancy W. Walker Family Living Trust; and Robert W. Walker, Jr., as trustee of the Walker Irrevocable Trust vs. Names of Respondents Nova Financial Group, Inc., and Timothy B. Dickey Case Number: 04-06760 Hearing Site: Oklahoma City, Oklah

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Eugene J. Gau and Kathleen R. Gau and Name of Respondent Gail M. Werner-Robertson Case Number: 04-06759 Hearing Site: Omaha, Nebraska NATURE OF DISPUTE Customers v. Associated Person REPRESENTATION OF PARTIES Eugene J. Gau and Kathleen R. Gau ("Claimants") were represented by Rodney K. Vincent, Esq., Vincent Law Offices, Lincoln, Nebraska.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the Claimant Domenic Tricome Names nf the Respondents Online Brokerage Services, Inc. Success Trade Securities, Inc. Fuad Ahmed Daniel M. Zaleski Darren M. Menaker Kevin Michael Overy Christopher Scott Campbell Margaret H. Ziegler rnseNiimher 04-06729 Hearing Site- Philadelphia., Pennsylvania Nature of the Dispute: Customer vs. Members and Ass

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-06724 First Montauk Securities Corp., (Claimant) vs. Max E. Rosado, (Respondent) ATTORNEYS: For Claimant appeared Michael S. Colombo, President and CEO of StreetWide Asset Recovery Group, Inc., Lyndhurst, NJ. Respondent did not submit an Answer to the Statement of Claim. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: September 21, 2004 CASE SUMMARY: Claimant alleged that

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-06719 National Securities Corporation, Claimant v. Paul Langston, Respondent ATTORNEYS: " For Claimant National Securities Corporation ("Claimant") appeared Michael S. Colombo, President, Streetwide Asset Recovery Group, Inc., Lyndhurst, NJ. Respondent Paul Langston ("Respondent") did not file a Statement of Answer in this matter. NATURE OF DISPUTE: Member v. Associated Person. DATE FILE

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Niels C. Roberts and 01-00300 Phoenix, Arizona Name of Respondents Morgan Stanley DW Inc. Mark A. Lavach REPRESENTATION OF PARTIES Niels C. Roberts ("Claimant") was represented by Robert D. Mitchell, Esq., of Mitchell Law Offices, P.C., Phoenix, Arizona. Morgan Stanley DW Inc. ("Respondent MSDW") and Mark A. Lavach ("Respondent Lavach")