AWARD NASD Regulation, Inc. CASE:98 - 00553 Jeff Peters, claimant vs. John Dixon, respondent. ATTORNEYS: Claimant appeared Pro Se. - Arlington, TX. Respondent did not appear. DATE FILED: 2/12/98 CASE SUMMARY: Claimant alleged unauthorized trading of common stock. Claim Data Award Data Claim: $5,012.00 Award: $5,012.00 Interest: $.00 Interest: 6% from 4/14/95 to •2/11/99 then 10% per annum thereafter until paid. Filing Fees: $.00

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case No.: 05-03440 Money Concepts Capital Corp. (Consolidated with 05-03684) Names of the Respondents Hearing Site: Boca Raton, Florida Partner Connections, LLC William Little James Lee Kirby John Stevko In the Matter of the Arbitration Between: Name of the Claimant Case No.: 05-03684 Partner Connections, LLC (Consolidated with 05-03440) Name o

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant/Counter-Respondent Steven A. Rothstein vs. Case Number: 05-02287 Hearing Site: Chicago, Illinois Names of Respondents/Counter-Claimants Olympic Cascade Financial Corporation, operating through National Securities Corporation, an NASD Member Firm, its wholly owned subsidiary Consolidated with Name of Claimant Steven A. Rothstein vs. Case Number

Award NASP Pispute Resolution In the IVIatter of the Arbitration Between: Steven Meyerowitz (Claimant) vs. Charles Schwab & Co., Inc., Walter F. Wisniewski, and Paragon Capital Management Corp. (Respondents) Case Number: 05-02184 Hearing Site: New York, New York Elizabeth Drain (Claimant) vs. Charles Schwab & Co., Inc., Walter F. Wisniewski, and Paragon Capital Management Corp. (Respondents) Case Number: 05-02773 Hearing Site: New York, New Yo

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant / Counter Respondent Citigroup Global Markets, Inc. Case Number: 05-00508 and Hearing Site: Houston, Texas Name of Respondent / Counter Clainnant / Third Party Claimant Pamela B. Reznick and Name of Third Party Respondent Raymond J. Miller Consolidated with: Name of Claimant / Counter Respondent Citigroup Global Markets, Inc. Case Number: 05

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Louella Miller (Claimant) vs. Cantella & Co., Inc., First Midwest Securities, Inc., and Todd OpIinger (Respondents) Case Number: 05-00244 Hearing Site: Philadelphia. Pennsylvania Craig Miller (Claimant) vs. Cantella & Co., Inc., First Midwest Securities, Inc., and Todd OpIinger (Respondents) Case Number: 05-00430 Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: 05-0

Award NASD Dispute Resolution In the Consolidated Matter of the Arbitration Between: Joseph R. Biondo vs. Citigroup, inc. and Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. Case Number: 04-08255 Hearing Site: Philadelphia, PA and Smith Barney, a Division of Citigroup Global Markets, Inc. vs. Joseph R. Biondo, Biondo Asset Management, L.L.C, Gregory Lutfy and Eugenia Pavek. Case Number: 04-08747 Nature of the Dispute: Associated Pe

12/20/04 16:26 FAX 312 236 9239 OFFICE OF DISPXJTE RES 1 ! DEC ^ ? ?ani AWAHB NASD Dispute Resolution In the Matter of the Arhitration Between Clamiaiit Wachovia Securities, LLC, as successor in interest to Prudential Equity Group, LLC, fOc/a Prudential Securities, Incorporated V. 1002/007 Respondenta-Counterclaimants Edward Yalowitz and Sharon B. Zeidler 03- 08853 (consolidated with 04- 06944) Phoenix, Arizona V. C

Award NASD Dispute Resolution In the Matter of the Arbitrations entitled "Micke Consolidated Case": Consolidated Case Number: 04-05322 Joshua D. Micke vs. 1717 Capital Management Company, et al (the "Micke Case") 04-05322 Jean W. Kraft Toscano, et al vs. 1717 Capital Management Company, et al (the *Toscano Case") 04-05855 James L. Heisler vs. 1717 Capital Management Company, et al (the "Heisler Case") 04-07152 Case Number: 04-05322 Hearing Site: Portland,

Award NASD Dispute Resolution In the Matter of the Consolidated Cases: Consolidated Case Number: 04-04362 Case Number: 04-04285 Leonard Polonsky, Claimant v. Citigroup Global Markets Inc. f/k/a Salomon Smith Barney Inc., Bernard F. Wozniak, John R. Shoemaker, and Paul S. Tanzman, Respondents Case Number. 04-04362 Leonard Polonsky, Claimant v. Merrill Lynch, Pierce, Fenner & Smith Incorporated, Citigroup Global Markets Inc. f/k/a Salomon Smith Barney I