Stipulated Award Before the Pacific Exchange Xn the Matter of the Aibitration Between: Blinor DeKoiven, Ttustee of UK ElinCH- DcK;oven Trust dated 2/3/92 v. Salomon Smith Bamey, Biaudon Thompson and KonsldPhillips, Rc^ondoits Case Number 02-S057 Hearing Site:. San Francisco. Califomia >faturie.cf tl)e Dispute:- fTuirtajner vs. M'ynbcr af?d Associated Persons REPRESENTATION OF PAltTIES For Qaimeait: Timothy A. Canning, Esq. Richuxl Sadcs The Law

Stipulated Award Pacific Exchange Inc. In tlie Matter of the Aibitration Between: Milton A. Axenson and Laura M. Areason v. Salomon Smith Barney, Inc., Bfibecca Rothstein and Robert Ferry Case Number: PCX01-L022 Hearing Site: Los Angeles, California Nature of Dispute: Customers v. Member and Associated Persons REPRESENTATION OF PARTIES Tor Claimants: Exiatin M. Cano Law OfiGces of Kristin M. Cano Newport Beach, Cali&mia For Respondents: Mich

PACMC EXCHANGE, INC 115 Sansome StnsBf San FrandaoD, Califomia 94104 3h the Matter Of The Arbitoition Between: ) PCX Arhitration No. G3-S004 ) REBECCA LIFTON. ) ammant, | STIPULATED ARBITRATION AlVASD V. ) MERREX LYNCH, PIERCE, PBNNER & ) SMTTH INCORPORATED, JEFFREY ) HANSON and PETER ECONOMOS, Respondents. The iuideisignedAxbitmtois,havlns read and ccBisideiedlluC^ USEDL. CCIaimant") on or about Amiaiy 2, 2003, vad die Answer of

' ' ' xAC IFIC '^^^ '^^^'"' ^•'^ ''^^^-^ EXCHANGE STOCK ft OPTIONS ,. _ .PACIFICJEXCHANfiE..INC_._. ... 115 Sansome Street San Francisco, Califomia 94104 In The Matter Of The Aifoitration Between: Cynthia Bohnker PCX Case No. 02-S058 Claimant, ORDER OF THE PANEL V. Wachovia Securities, Inc., Raymond Bramer and Douglas Wulbrecht Respondents. Peter Wercinsld (Chair) and Robert Fisher (collectively, the "PaneH presided over this mat

PACIFIC ffiHSftMes, IKC. 115 SanaoBa Street San FranclttOOf C% 94104 In Ae Hatter of Uie Arbitration Betveea ciaiaanfe.. CbAtlea Sr!l»ab C^ Co.* Kespondent irac CAam no. 06-SOOl DBCISIOH Thft underfligned Arbltratorr havLu-Cf read and considered the Claln Qubnitl^ad by Claimant and tba Anaver of Rsspondenti tog«t)ie:r with docunantary subnisBione filed by tha p^rtlaBf hereby rendece the following Dealalon pursuent to Sale 12

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names nf the Claimants Case Number- 01-05267 The Estate of Bernard H. Grossman, through Ruth B. Grossman, Executrix, and Ruth B. Grossman, Individually Names of the Respondents Hearing Site: Pittsburgh, PA Merrill Lynch, Pierce, Fenner, and Smith, Inc. and C. Lee Roland Nature of the Dispute: Customer vs. Member and Associated Person RFPRFSFNTATION OF PARTTFS Claiman

NYSE ARCA 115 Sansonifl Street San FrancTscd, CA 94104 In Tiie Matter Of The Arbitration Between: Steven R. Ratdlffe, Qaimant NYSE Area CASE #; 06-S003 v. DECISION QBC World Markets Corp., Respondent The undersigned Arbitrator, having read and considered the Claim submitted by Claimant, the Answer of the Respondent, and the Rebuttal of the Claimant, hereby renders the following Decision pursuant to Rule 12 of the Rules of NYSE Area, Inc. (f/

NYSE ARCA 115 Sansome Street San Francisco, CA 94104 [n The Matter Of TTie Arbitration Between: Vtrader Pro, LLC and GreenTree Capital Markets, LLC Claimants v. Frank Perre Respondent NYSE Area CASE #: 06-S002 DECISION The undersigned Arbitrators, having read and considered the Claim submitted by Claimants and having considered evklence presented at the hearing on May 24, 2006, hereby render the fallowing IDecision pursuant to Ru

NYSE ARCA 115 Sansome Street San Francisco, CA 94104 In The Matter Of The Art}ltratiDn Between: Ronald Perliman; Lois perllman; Ronald and Lois Perllman on behalf of their minor chfldrenj, Paul and Olivia Perliman; and The Periiman- Bolen Partnership! Claimants, V. Salomon Snnlth Barney, Inc., n/k/a Citigroup Global Markets, Inc.; and Scott Shagrin Respondents. NYSE Area CASE #r 04-5003 DECISION The undersigned Arbitr

NASD Dispute Resolution In the Matter of the Arbitration Between: ft r*f thft Plairrjar^t Past* Nurnhpr- 01-05266 Norman Miller, Dr. Name nf fop RespnnH^f ^^Ting Fit*' Richmond, VA Davenport & Company, LLC OF Claimant, Norman Miller, Dr., ("Claimant") was represented by John B. Russell, Jr., Esq., John B. Russell & Associates, PLC, Midlothian, VA. Respondent, Davenport & Company, LLC, ("Respondent") was represented by James E. Farnham, Esq.