AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimants Leonard L. and Esther L. Deitz vs. 98-00552 Name of Respondents Ferris, Baker Watts, Inc. Mary Jean Hanson . Sarah A. Ehrlich REPRESENTATION Claimants Leonard L. and Esther L. Deitz ("Claimants") appeared pro se. Respondents Ferris, Baker Watts, Inc. ("FEW"), Mary Jean Hanson ("Hanson") and Sarah A. Ehrlich ("Ehrlich") were represented by Theodore

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Town Plaza II Investment Ltd. vs. Names of Respondents Cantone Research Inc. and William Abbate. Sr. Names of Claimants Ely Tama and Andrea Tama vs. Names of Respondents Cantone Research. Inc. and William Michael Abbate Case Number: 04-05809 Hearing Site: Southfield, Michigan Consolidated with: Case Number: 04-05788 Hearing

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

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

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 Consolidated Case entitled "Jacobs Consolidated Case": Consolidated Case Number: 02-01675 George A. Jacobs^ Claimant v. A.G. Edwards & Sons, Inc., Respondent A.G. Edwards & Sons, Inc., Third-Party Claimant v. Wendy Feldman Piuuer, Third Party Respondent Case Number: 02-01675 Nature of Claims: Customer v. Member Member v. Associated Person George A. Jacobs, Claimant v. Moi^an Stanley DW Inc., Bogda

AWARD NASD REGULATION. INC. In the matter of the Arbitration Between Name of Claimant Craig Eyerick v. Name of Respondents Joe Sanders and A.G. Edwards & Sons, Inc. Arbitration No. 98-00550 REPRESENTATION For Claimant: For Respondent A.G. Edwards & Sons, Inc: For Respondent Joe Sanders; David Liebrader, Esq. Law Offices of David Liebrader Newport Beach, California M. Jane Matoesian, Esq. A.G. Edwards & Sons, Inc.

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 Orleans, LA Deutsche Bank Securities, Inc. DB Alex. Brown DB Alex.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Blair Reichenberg (Claimant) v. Prudential Equity Group, LLC filc/a Prudential Securities, Inc. (Respondent) and Richard B. Rudd (Claimant) v. Prudential Equity Group, LLC f/k/a Prudential Securities, Inc. (Respondent) Case Number: 03-01487 (consolidated w/03-01493) Hearing Site: Boston, Massachusetts Nature of the Dispute: Customers v. Member. REPRESENTATION OF PARTIES Cl

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the, riaimants Case Number: 01-04406 Joseph M. Paniello, Individually, as Personal Representative of the Estate of Marie Louis Mackie Paniello, and as Trustee UAV of Perle Mackie dtd 2/2/65, Perle P. Hicks, J. Mackie Paniello, Anne P. Dykeman Revocable Trust, and Louise P. Matthews, Individually and as Trustee of the Louise P. Matthew Revocable Trust Name nf the. R