Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 01-05566 Guy and Cynthia Burrows Names of the Respondents Hearing Site: St. Louis, Missouri First Union Securities, Inc. Emmett R Owenby, HI REPRESENTATION OF PARTIES Claimants/Counterrespondents Guy and Cynthia Burrows ("Claimants"): Allen P. Press, Esquire, of Green, Schaaf & Jacobson, P.C., Clayton, Missouri. Respondent/Counterclaim

Award NASD Dispute Resolution, Inc. In the Matter of Oie Arbitration Between Sarab J. Camitheis and Saiab ]. Carnithers, Itiik Camithers, Jack Camithers, and Mjk^hael CarruOiers, ITWROS Names of the Respondents Hearing Site: Tampa, Florida Raymond James Fmancial Services, Inc., SunAmerica Securities, Inc., Ramona V. MacKlnnoa, individually, and Ramona V. MacKinnon d/b/a MacKinnon Financial Consultants REPRESENTATION OF PARTIES For Sai

Finra FINRA DR In the Matter of Arbitration Between Case: Ramius Capital Group, LLC, Ramius Masicr Fund. Ltd. RCG Halifax Fund, Ltd, and RC^G AAA. LLC v. Bear. Slcams & Co.. Inc., and Bear, Steams International Limited Docket: 200.S-016372 Attorneys: For Claimant(s): Philipix: Si-lcndv, Ksi].- Now York. NY For Respondent(s): Allan j. Artfa, Esq.- New York, NY Date Filed: 12/09/2005 First Scheduled: 7/10/2006 Decided: [0/12/09 Case Summary

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Robert Branberg, Harold Branberg, Donald Branberg, and Walter Branberg Residuary Trust Claimants v. RBC Dain Rauscher Inc. and Brian Buskirk, Respondents Case Number: 01-05563 Hearing Site: Seattle, Washington REPRESENTATION OF PARTIES For Claimants: Robert Branberg ProSe Seattle, Washington For Respondents: David L. Young, Esq. Lane Powell Spears Lubersky LLP Seattl

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Jimmie Grant Berry, Claimant v. Charles Schwab & Co., Inc., Respondent and Third-Party Claimant v. Steven Harvey, Third-Party Respondent Case Number: 00-01453 Hearing Site: San Francisco, California REPRESENTATION OF PARTIES For Claimant: David W. Trotter, Esq. Bowles & Verna Walnut Creek, California For Respondent Charles Schwab & Co., Inc.: Steve Murphy, Esq. Cha

Stipulated Award NASD In the Matter of the Arbitration Between: Name of the Claimant Case Number: 01-05561 Margaret R. Skudera Names of the Respondents Hearing Site: Boca Raton, Florida Peter Goffin and First Union Securities Financial Network, Inc. REPRESENTATION OF THE PARTIES For Margaret R. Skudera, hereinafter referred to as "Claimant": Alexander L. Martone, Esq., Boca Raton, Florida. For Peter Goffin ("Goffin") and First Union Securities F

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between; Name nf the naimants - : ' Case Number 01-05560 Bradford Fager and Susan Fager Name of the Respondents "Rearing Site- Baltimore, MD Linsco/Private Ledger Corp. David A. Fiacco Marc A. Hansen RFPRFSFNTATTON OF PARTIES Claimants, Bradford Fager and Susan Fager, hereinafter collectively referred to as "Claimants", were represented by Nicholas J. Guiliano,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimants Case Number: 01-05558 Barry Lefkowitz and Helene Shafiyan Name of Respondent Hearing Site: Cleveland, Ohio Salomon Smith Barney, Inc. n/k/a Citigroup Global Markets, Inc. REPRESENTATION OF PARTIES Claimants, Barry Lefkowitz ("Lefkowitz") and Henry Shafiyan ("Shafiyan"), hereinafter collectively referred to as "Claimants": James A. DeRoche, Esq., Garson & Associ

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Jan Davis (Gaimant) v. Personal Financial Management and Larry D. Laine, (Respondents) Case Number: 00-03681 Hearing Site: Chicago, Illinois Claimant Jan Davis C'Claimant")- Richard A. Pundt, Esq. with offices in Cedar Rapids, Iowa. Respondent Personal Financial Management ("Personal Financial") and Ijasry D. Laine C^Laine")* hereinafter collectively lefeircd to as "Respond

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of tl^e Claimants Robert F. Berg, Individually and on behalf of his IRA Name of the Respondents Citigroup Global Maricet8> Inc., and Donald W. Sommerfleld Case Number 99-04754 Hearing Site: Chicago, Illinois MATimg OF THg Diapure Customers v. Member Fimn and Associated Person Edward X. ClJrrton, Esq., with Low Offtoes located 'm Chicago; Illinois, rapresentsd