01/05/2006 09:19 FAX 81002/007 STIPULATED AWARD NASD DISPUTE RESOLUTION In the Matter of the Arbitration Between: Kama nf the Claimant Case Number 04-01893 June R. Leib Names nf the Respondents Hearing Site: Dallas, TX Deutsche Bank Alex. Brown and Robert Emmert Howard NATURE OF THE DISPUTE Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant June R. Leib ("Leib"} was represented by N. Henry Simpson, m, Esq.,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Andrew L. Brown Name of the Respondent Citigroup Global Markets, Inc. Case Number: 04-01881 Hearing Site: Chicago, Illinois Nature of the Dispute: Customer vs. Member Firm REPRESENTATION OF PARTIES Claimant, Andrew Brown ("Brown"), hereinafter referred to as Claimant: Mike Willner, Esq. of the law firm Miller, Faucher and Cafferty LLP, located in

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-01876 Thomas A Cumrnings Name of the Respondent Hearing Site: Tampa, Florida Robert W. Baird and Company, Incorporated Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Thomas A. Cummings, hereinafter referred to as "Claimant": Frederick C. Kramer, Esq., Law Offices of Frederick C. Kramer, Marco Island, Florida.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-01873 Joan Ann Connell Name of the Respondent Hearing Site: Boca Raton, Florida H&R Block Financial Advisors Incorporated Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Joan Ann Connell, hereinafter referred to as "Claimant": Frederick C. Kramer, Esq., Law Offices of Frederick C. Kramer, Marco Island, Florida.

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Debra Martin, Claimant v. Merrill Lynch, Pierce, Fenner & Smith Inc. and Richard L. Labrum, Respondents Case Number: 04-01872 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Paul W. Thomas, Esq. Law Offices of Paul W. Thomas & Associates Carlsbad, California For Respo

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Linda Guadarrama Claimant, vs. Merrill Lynch, Pierce, Fenner & Smith Incorporated Respondents. Case Number: 04-01864 Hearing Site: Dallas. Texas NATURE OF CASE Customer versus Member Firm. REPRESENTATION OF PARTIES Claimant Linda Guadarrama ("Claimant"): Jonathan A. Pace, Pace & Rickey, LLP, Meadows Building, Suite 940, Dallas, Texas 75206. Respond

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name, of the Claimant r*agp;Nnmher 04-01863 Ronald L. Altany, Executor for The Estate of Marilyn C. Altany Name r>f the Respondent Hearing Site: Pittsburgh, Pennsylvania Prudential Equity Group, LLC Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTTFS Claimant, Ronald L. Altany, Executor for the Estate of Marilyn C. Altany, hereinafter referred to as "Cl

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-01854 J. Richard and Linda M. Swenson, Claimants v. Roxanne T. Seaton and Floyd Barntu, Respondents. ATTORNEYS: Claimants, J. Richard and Linda M. Swenson, ("Claimants"), appeared pro se, Sebring, FL. Respondents, Roxanne T. Seaton and Floyd Barnett, (collectively "Respondents"), appeared through Neil S.Baritz., Esq., of the firm Bartiz & Colman, Boca Raton, FL. NATURE OF DISPUTE: Custom

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between nf Claimant Lolita Fabre, as special administrator and beneficiary of the Estate of Margaret P. Galecki Case No. 00-05738 BNY Clearing Services LLC; James A. Reis; M & M Bancorp/Investment Dept.; and, First Union Securities, Inc. Site: Milwaukee, Wisconsin OF Claimant Lolita Fabre, as special administrator and beneficiary of the Estate of Margaret P. Gal

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration.Between: Dorothy S. Parzynski (Claimant) v. Putnam Investments; Putnam Retail Management Limited Partnership; McDonald Investments, rnc; and Douglas Patrick Sanker (Respondents) Case Number: 04-01848 Hearing Site: Cleveland, Ohio . Nature of the Dispute: Customer v. Members, Associated Person, and Non-Member REPRESENTATION OF PARTIES Claimant Dorothy S. Parzynski hereinafter refer