AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant/Counter-Respondent Banc of America Investment Services, Inc. vs. Case Number: 06-01869 Hearing Site: Houston, Texas Name of Resoondent/Counter-Claimant/Third-Partv Claimant Geraldine C. Maxfield vs. Name of Third-Partv Respondent Mark Jarrett Benson NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES Banc of Ameri

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-03403 Kenneth Paul Daigle Name of the Respondent Hearina Site: New Orieans, Louisiana Merrill Lynch, Pierce, Fenner & Smith, Inc. Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES For Kenneth Paul Daigle, hereinafter referred to as "Claimant": Walter C. Thompson, Jr., Esq., Berkley & Thompson, L.C., New Oriean

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Robert K. Blacksher vs. Names of Respondents H&R Block Financial Advisors, Inc., Robert Thomas Armstrong Jr., and Eric D. Clark Case Number: 06-02480 Hearing Site: Southfield, Michigan NATURE OF THE DISPUTE Customer vs. Member and Associated Persons REPRESENTATION OF PARTIES Robert K. Blacksher ("Claimant") was represented by Joseph H. Sp

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Nasr A. Al Sahhaf, Claimant v. Salomon Smith Barney, Respondent Case Number: 99-03777 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: Charles S. Bargiel, Esq. Mullen & Henzell Santa Barbara, California For Respondent: William A. Hohauser, Esq. Salomon Smith Barney New York, New York CASE INFORMATION Statement of Claim filed: Au

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 05-05530 Babak and Elizabeth Habibi, individually and as assignees of Intranet Consultants, Inc. Names of the Respondents Hearina Site: Washington, D.C. Merrill Lynch, Pierce, Fenner & Smith, Inc. Howard H. Jones Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Babak and Elizabeth Habibi,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 04-02285 Roscoe Cox Dorothy Cox Betty Cox Smith Elizabeth Smith Names of the Respondents Hearing Site: Columbia, South Carolina A.G. Edwards & Sons, Inc. Carver Ray Black Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Roscoe Cox ("R. Cox"), Dorothy Cox ("D. Cox"), Betty Cox Smith

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Royal Alliance Associates, Inc. vs. Names of Respondents Gregory S. Rutherford, Scott W. Non/ell, Gerald L. Tagge, and Allen L. Baily Case Number: 06-03092 Hearing Site: Omaha, Nebraska NATURE OF THE DISPUTE Member vs. Associated Persons REPRESENTATION OF PARTIES Royal Alliance Associates, Inc. ("Claimant") was represented by Thomas M. Campbe

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Eari C. Martin vs. Case Number: 05-01054 Hearing Site: Dallas, Texas Names of Respondents Seaboard Securities, Inc., Robert A. Cassino, and Robert C. Patrick and Name of Cross-Claimant Seaboard Securities, Inc. vs. Names of Cross-Respondents Robert A. Cassino and Robert C. Patrick and Name of Cross-Claimant Robert A. C

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants William Yacktman, Yacktman Family Investment Limited Partnership a/k/a Yacktman Family Partnership, Yacktman Family Foundation, Golf-Mil Limited Partnership, VPX Corporation, and the Estate of Pauline Yacktman Petre by William Yacktman, Executor vs. Case Number: 05-04785 Hearing Site: Chicago, Illinois Names of Respondents UBS Financial Serv

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Citigroup Global Markets, Inc. and Citigroup Global Markets Holdings, Inc. vs. Case Number: 06-03773 Hearing Site: Chicago, Illinois Name of Respondent William J. Finley NATURE OF THE DISPUTE Member and Non-Member vs. Associated Person REPRESENTATION OF PARTIES Citigroup Global Markets, Inc. and Citigroup Global Markets Holdings, Inc