Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Michael G. Maida Names of the Respondents Paragon Financial Group, Inc. Bear Steams Securities Corporation Don W. Reinhard Case No.: 04-04105 (consohdated with 04-04106 and 04-06134) Hearing Site: Tampa, Florida In the Matter of the Arbitration Between; Name of the Claimant Karen Maida McCormick and Michael G. Maida Names of the Respond

4 .. Award NASD Dispute Resolution In the Matter of the Arbitration Between: Service Asset Management Company, Service Asset Trading, Inc., SAMCO Trading, Inc., Penson Worldwide, Inc., Penson Financial Services, Inc., Roger J. Engemoen, Jr., and James J. Kubisak (Claimants) v. Cole T. Coffer, William R. Skutch, and Andrew Moed (Respondents) and Cole T. Coffer (Claimant) v. Service Asset Management Company, Service Asset Trading, Inc., SAMCO Trading, I

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants Donald L. Sturm; Donald L. Sturm Charitable Tmst - Donald L. Sturm, TTEE; Sturm Family Foundation; Sturm Group, Inc.; Sturm Family Capital, LLLP; and Colorado Seminary v. Respondents Citigroup Global Markets, Inc., fk/a/ Salomon Smith Barney, Inc., Jack Gmbman, and Citigroup, Inc. and Claimants Melanie L. Sturm; Melanie L. Sturm Revocable Tmst

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Sean C. Twomey (Claimant) v. Mallory Capital Group, LLC and A. Conrad Weymann, III (Respondents) and Terence M. Crikelair (Claimant) v. Mallory Coital Group, LLC, and A. Conrad Weymann, III (Respondents) and Christopher H. Aidone (Claimant) v. Mallory Capital Group, LLC, and A. Conrad Weymann, III (Respondents) Case Number: 03-05469 (consolidated w/03-04660 and 03-06094)

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-03347 Switzer and Sons Family Partnership, L.P. (Consolidated with 03-03361 Switzer Brothers Charitable Foundation and 03-03362) Robert Brent Switzer Charitable Remainder Unitnjst Dated February 27, 1997 Robert B. Switzer Names of the Respondents Hearing Site: New Orieans, LA Deutsche Bank Securities, Inc. DB Alex. Brown DB Alex.

Award NASD Dispute Resolution In the Matter of the Arbitration Between; Columbus Circle Investors (Claimant) v. Michael Jutian (Respondent) and Michael F. Julian (Claimant) v. Columbus Circle Investors (Respondent) Case Number: 03-02208 (consolidated with 03-02397) Hearing Site: New York, New York Nature of the Dispute: Non-Member v. Associated Person (03-02208) Associated Person v. Non-Member (03-02397) REPRESENTATION OF PARTIES 03-02208

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASES: 03-1134 and 03-1135 Kenneth Vilcheck, Claimant v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney Inc., Respondent. Philip H. Brice, Claimant v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney Inc., Respondent. ATTORNEYS: For Claimants, Kenneth Vilcheck and Philip H. Brice (collectively "Claimant"), appeared Thomas L. Stephenson, Esq., of the firm Nexsen Pruet Jacobs & Po

Award NASD Dispute Resolution In the Matter of the Arbitration Between; Howard and Sandra Schneider, Howard Schneider, and Sandra Schneider (Claimants) v. Citigroup Global Markets, Inc. and Jeffrey Winik (Respondents) and Castroviejo-Schneider Eye Surgery Foundation (Claimant) v. Citigroup Global Markets, Inc. and Jeffrey Winik (Respondents) Case Number: 03-07085 (consolidated w/03-08442) Hearing Site: New York, New York Nature of the Dispute: (03-070

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimaiit Steven C. Signer V. Name of Respondent/ Cross-Claimant Global Capital Securities Corporation V. 02-02821 Denver, Colorado Name of Respondent/ Cross-Respondent Fiserv Securities, Inc. Name of Claimant Global Capital Securities Corporation V. Name of Respondent Fiserv Securities, Inc. (Consolidated w/ 02-02836) Denver, Colorad

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Weber Investment Corporation and Garry Weber, Claimant vs. Southwest Securities, Inc., William D. Felder, Cheryl Everett and Terry Rader (Respondents.) Case Number: 98-00542 Hearing Site: Dallas, TX REPRESENTATION OF PARTIES Claimants, Weber Investment Corporation ("Weber Investments") and Garry Weber, hereinafter collectively referred to as "Claimants": Cheryl Jerome Moore, E