Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 04-03834 John England, Jr. Kathleen F. England Names of the Respondents Hearing Site: Tampa, Florida Stanley D. Romaine, III Stanley Daniel Romaine, Jr. Romaine Financial American Skandia Marketing, Inc. Common Wealth Financial Network Nature of the Dispute: Customer vs. Member, Non-Member and Associated Person. REPR

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Charles Schwab & Co., Inc., Claimant v. Withbert Payne and Rosemary Payne, individually and as Trustees of the Withbert and Rosemary Payne Living Trust, and Starcare International, Inc., Respondents Withbert Payne and Rosemary Payne, individually and as Trustees of the Withbert and Rosemary Payne Living Trust, and Starcare International, Inc. Counter-Claimants v. Charles Schwab & Co

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Geoffrey Scott Paul, Claimant v. CIBC World Markets Corp., Respondent Case Number: 04-03827 Hearing Site: Los Angeles, California Nature of the Dispute: Associated Person v. Member REPRESENTATION OF PARTIES For Geoffrey Scott Paul: Michael Blumenfeld, Esq. Catherine L. Rhodes, Esq. Freeman, Freeman & Smiley, LLP Los Angeles, California For CIBC World Markets Corp.: Miche

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Chris A. Melton, Claimant v. Bruce Marinace, as Conservator for the Estate of Josephine Marinace, Respondent Case Number: 04-03824 Hearing Site: San Diego, California Nature of the Dispute: Associated Person v. Customer REPRESENTATION OF PARTIES For Claimant: For Respondent: Brian T. Rafter, Esq. Steefel, Levitt & Weiss San Francisco, California Timothy D

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Oppenheimer & Co. Inc., Claimant v. Gregg Shawzin, Respondent Case Number: 04-03820 Hearing Site: Los Angeles, California Nature of the Dispute: Member v. Customer REPRESENTATION OF PARTIES For Claimant: Eric J. Shames, Esq. Oppenheimer & Co. Inc. New York, New York For Respondent: Gregg Shawzin Beverly Hills, California CASE INFORMATION Statement of Claim filed

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 04-03815 Douglas Motzer Cletus Morgan Names of the Respondents Hearing Site: Tampa, Florida Citigroup Global Markets, f/k/a Salomon Smith Barney Kevin Durkin Purcell Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Cletus Morgan ("Morgan") and Douglas Motzer ("Motzer"), hereinafter col

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-03813 Carl Rodgers (Claimant) v. Wachovia Securities, Inc. (Respondent) ATTORNEYS: For Claimant Carl Rodgers ("Claimant") appeared Gerald D. Towers, Jr., Esq., of the firm Suggs & Kelly Lawyers, P.A., Columbia, SC. For Respondent Wachovia Securities, Inc. ("Respondent") appeared Todd Ratner, Esq., in-house counsel, Wachovia Securities, LLC, Richmond, VA. NATURE OF DISPUTE: Customer vs. M

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Efrain T. Suarez, Marilyn E. Suarez, Bruce S. Hampton, Venese I. Hampton, Jonel Ricker in his capacity as Trustee for The Suarez Irrevocable Insurance Trust, The Petra Charitable Trust, The Doran Charitable Trust, Hampton Revocable Insurance Trust, Hampton I Charitable Trust, Hampton 2 Charitable Trust, Claimants v. Pacific Select Distributors, Inc., Multi-Financial Securities Corp. fil

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Martin F. Tynan, Claimant v. Salomon Smith Barney Inc, n/k/a Citigroup Global Markets, Inc. and John Slater, Respondents Case Number: 04-03809 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Michael R. White, Esq. Kelegian White & Reed LLP Los Angeles, California For Respondents

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Annie Malone Foundation, Inc. and • Case Number- 04-03800 Annie Malone Children and Family Service Center, Inc. Claimants, v. Merrill Lynch, Pierce, Fenner& Smith, Inc. and Hearing Site: St. Louis, Missouri Shariq Mansuri, Respondents NATURE OF THE DISPUTE Customers vs. Member Firm and Associated Person REPRESENTATION OF PARTIES Annie Malone Foundation