stipulated Award FiNRA Dispute Resolution In the Matter of the Arbitration Between: Wells Fargo Investments, LLC, Claimant v. Frank C. Parlato, Respondent Case Number: 06-05355 Hearing Site: Los Angeles, California Nature of the Dispute: Member v. Associated Person REPRESENTATION OF PARTIES For Claimant: Diane C. Fischer, Esq. Stuart F. Primack, Esq. Kane & Fischer, Ltd. Chicago, Illinois For Respondent: Frank C. Parlato In Propria Perso

Award FINRA Diepute Resolution In the Matter of the Arbitration Between: Rodney Beck (deceased), Rodney R. Beck Living Trust d 12-05-04, Stacey Beck, and Stacey Beck lliving Trust dtd 12-05-94, Claimants v. Investacorp, Inc., Investacorp Advisory Services, and William C. Artmann, Respondents Case Number: 05-03849 Hgarinfl Sifei PhOgPi?^. Ariggna Nature of the Dispute: Customers v. IVIember, Associated Person and Non-IVIember REPRESENTATION OF PARTIES

stipulated Award FINRA Dispute Resolution In the Matters of the Arbitration Between: Wachovia Securities, LLC, Claimant vs. Paul Clayton, Respondent Paul Clayton, Counter-Claimant v. Wachovia Securities, LLC, Counter-Respondent Case Number: 05-00238 Hearing Site: San Diego, California Nature of the Dispute: Member v. Associated Person Associated Person v. Member REPRESENTATION OF PARTIES For Claimant/Counter-Respondent (hereinafter referred to a

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Ronald D. Goldman, Claimant v. Wachovia Securities, LLC and Terry Chase, Respondents Case Number: 05-06450 Hearing Site: Los Angeles, California Nature of the Dispute: Associated Person v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: William Lindsley, Esq. Law Offices of William R. Lindsley Toledo, Ohio Jack Smart, Esq. Vogt & Resnick New

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Tim Taylor Smith and Phillip John Mottini, Claimants v. Bernard Wayne Bunning, Respondent Bemard Wayne Bunning, Counter-Claimant v. Tim Taylor Smith and Phillip John Mottini, Counter-Respondents Case Number: 05-02206 Hearing Site: San Francisco, California Nature of the Dispute: Associated Persons v. Associated Person Associated Person v. Associated Persons REPRESENTATION O

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Rindy Merrifield TTEE of the Rindy Merrifield Inc. Defined Benefit Plan FBO Rindy Merrifield DTD 1/1/00, Claimant v. Mutual Service Corporation and Michael T. Woods, Respondents Case Number: 06-03213 Hearing Site: San Francisco, California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Timothy A. Canning, Esq. Attorne

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-02294 Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. Names of the Respondents Hearing Site: Washington, D.C. Peter K. Barrett Amy M. Barrett Nature of the Dispute: Member vs. Customer. REPRESENTATION OF PARTIES For Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. ("Citigroup"), hereinafter referred

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Estate of Harriet H. Dublon Warren Brams, as Personal Representative Names of the Respondents Ronald W. Flint A.G. Edwards & Sons, Inc. Case Number: 06-04130 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer v. Member and Associated Person. REPRESENTATION OF PARTIES For Estate of Harriet H. Dublon Warren Brams, as Personal Re

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-03985 Edward Steves Names of the Respondents Hearing Site: Oriando, FL J.P. Turner & Company, LLC Chad Austin Curtis Stavros Doukas Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Edward Steves, hereinafter referred to as "Claimant", appeared pro se. For J.P. Turner & Company, LLC ("JPT

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 06-02323 Milton Wasserburger Blanche Wasserburger Name of the Respondent Hearing Site: Boca Raton, Florida Citigroup Global Markets d/b/a Smith Barney Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Milton Wasserburger and Blanche Wasserburger, hereinafter collectively referred to as "Claimants": Stefan M. Ap