Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf thf» Claimant C.ase. Number- 07-061QS Etta Brenda Brown Name of thp ttpspnndents Hearing Site: Washington, DC Salomon Smith Barney, Inc. James Burner Keith Burner Nature of the Dispute: Customer vs. Member and Associated Persons. RFPRF.SKNTATTON OF PARTIES Claimant, Etta Brenda Brown, "Claimant", was represented by Wesley L. Clarke, Esq., Law Offices of Wesle

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Darius Khadem, Claimant v. First American Equities, Inc. nka The Camelot Group, Inc., Everen Securities nka Wachovia, et al, Respondents Case Number: 02-06191 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: In Propria Persona Los Angeles, California For Respondents: First American Equities, Inc. (hereinafter referred to as 'The Camel

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: David A. Guydish, Claimant v. Citigroup Global Markets, Inc. (also known as Salomon Smith Barney, Inc.), William David Hobby and Jack B. Grubman, Respondents Case Number: 02-06189 Hearing Site: San Francisco, California Nature of the Dispute: Customer vs. Member and Associated Persons REPRESENTATION OF PARTIES For Claimant: Adam S. Doner, Esq. Gordon & Doner, P.A.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Wendy McGhee Names of the Respondents Malachi Holdings, Inc. Corey Fuller Case Number: 02-06187 Hearing Site: Atlanta, Georgia REPRESENTATION OF PARTIES Wendy McGhee, hereinafter referred to as "Claimant", appeared pro se. For Respondent, Malachi Holdings, Inc. ("Malachi"): Thomas Diggs, Jr., Managing Director, Compliance, The Malachi Group,

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Max R. Stover, Claimant v. Workman Securities Corporation, Respondent. Case Number: 00-04085. Hearing Site: Cincinnati, Ohio, REPRESENTATION OF PARTIES David S. Mann, Esquire, Cincinnati, Ohio, represented Claimant Max R. Stover ("Stover"). Adam P. Hall, Esquire, of Frost Brown Todd LLC, Cincinnati, Ohio, represented Respondent Workman Securities Corporation, ("Workman

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 00-00423 Joseph A. Buttacavoli, claimant vs. Prudential Securities, Inc. and Joseph Cecere, respondents. ATTORNEYS: For Claimant, Joseph A. Buttacavoli, ("Claimant") appeared Raymond Gaitan Esq., Orange, CA. For Respondents, Prudential Securities, Inc. and Joseph Cecere, ("Respondents"), appeared in- house counsel, Marcia Williams, Esq., New York, NY. DATE FILED: January 31, 2000

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf thp. Claimant Mary Tebbe Case. Number 02-06184 Name nf the. Respondents Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney and Christine M. Brady Hearing Site: St. Louis, Missouri \FATTTttF Customer vs. Member Firm and Associated Person Bruce D. Oakes, Esq. of the law firm Oakes & Fosher, LLC, located in St. Louis, Missouri, represented the Cla

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants Joseph F. Novogratz and Insulation Distributors, Inc. v. 02-06183 Minneapolis, Minnesota Respondents Miller Steichen Kinnard, Inc., Aaron Michael Howe and Andrew John O'Connell Nature of Dispute: Customers v. Member and Associated Persons REPRESENTATION OF PARTIES Joseph F. Novogratz and Insulation Distributors, Inc. ("Claimants") were represented

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Elisa Jacobson IRA (Claimant) v. Donaldson, Lufkin & Jenrette Securities Corporation and Clark Reinhard (Respondents) Case Number: 02-06173 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant Elisa Jacobson IRA ("Jacobson") hereinafter referred to as "Claimant": Ralph A. Gant, Esq., New York, NY.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Ian Schaad (Claimant) v. Susquehanna Capital Group; Susquehanna Financial Group, LLLP; Susquehanna International Group, LLP f/k/a Susquehanna Partners, GP; and Susquehanna Ireland Limited (Respondents) Case Number: 02-06171 Hearing Site: New York, New York -s ___ Nature of the Dispute: Associated Person vs. Members REPRESENTATION OF PARTIES Claimant Ian Schaad hereinafter re