Award NASD Dispute Resolution In the Matter of the Arbitration Between: Gisela Carino (Claimant) vs. Allstate Financial Services, LLC, Allstate Insurance Company of New Jersey, Allstate Insurance Company, Allstate Financial Corp., Rich Crist, and Daniel Lombino (Respondents) Case Number: 04-00787 Hearina Site: Philadelphia, Pennsylvania Nature of the Dispute: Associated Person vs. Member, Non-Members and Associated Persons. REPRESENTATION OF PARTIES

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Howard Steel Corporation (Claimant/Counter Respondent) vs. Emerson Bennett & Associates, (Respondent and Counter Claimant) Michael Cinquemani, and Kenneth Engelbourg (Respondents) Case Number: 99-03765 Hearing Site: Chicago, Illinois REPRESENTATION OF PARTIES Claimant/Counter Respondent Howard Steel Corporation ("Claimant Howard Steel"): Howard Feather appeared as

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 07-00007 Lawrence Stephens and Susan E. Stephens JTWROS, (Claimants) vs. John Robert Carpenter, (Respondent) ATTORNEYS: Claimants appeared pro se, Carrollton, TX. For Respondent appeared Rebecca J. Nelson, Esq., in-house counsel for Cifigroup Corporate and Investment Banking, New York, NY. NATURE OF DISPUTE: Customers vs. Associated Person DATE FILED: December 28, 2006 CASE SUMMARY

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 07-00808 Nelson Cannon and Shirin Cannon, (Claimants) vs. E*Trade Securities, LLC, (Respondent) ATTORNEYS: Claimants appeared pro se, Naperville, IL. For Respondent appeared in-house counsel John Bersin, Esq.. Roseville, CA. NATURE OF DISPUTE: Customers v. Member DATE FILED: March 7. 2007 CASE SUMMARY: Claimants alleged that Respondent executed an unauthorized transfer/reversal. Cla

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Scott Andrew Ferguson (Claimant) vs. Citigroup Global Markets, Inc., and Citigroup Global Markets Asia Limited (Respondents) Case Number: 04-07732 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member and Non-Member. REPRESENTATION OF PARTIES Claimant Scott Andrew Ferguson hereinafter referred to as "Claimant": Stephen J. Steinlight, Esq., and Jeff

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 07-00749 Rhino Partners, Ltd., (Claimant) vs. Joseph Toomey, (Respondent) ATTORNEYS: For Claimant appeared J. Christopher Albanese, Esq., of the firm American Capital Partners, L.L.C., Hauppauge, NY. Respondent appeared pro se. Lake Grove, NY. NATURE OF DISPUTE: Non-Member vs. Associated Person DATE FILED: March 6, 2007 CASE SUMMARY: Claimant alleged that Respondent breached a contract

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 07-00972 Richard Brust, Executor of the Estate of Leon Lev, (Claimant) vs. TD Ameritrade, Inc. f/k/a TD Wateriiouse, (Respondent) ATTORNEYS: Claimant appeared pro se, FlossnfK)or, IL. For Respondent appeared in-house counsel Kelly R. Davis, Esq., Bellevue, NE. NATURE OF DISPUTE: Customer vs. Member DATE FILED: March 20, 2007 CASE SUMMARY: Claimant alleged that Respondent failed to execu

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Rosario Giordano and Anna Giordano (Claimants) vs. Morgan Stanley Dean Witter (Respondent) Case Number: 05-01612 Hearina Site: Boston. Massachusetts Nature of the Dispute: Customers vs. Member. REPRESENTATION OF PARTIES Claimants Rosario Giordano ("R. Giordano") and Anna Giordano ("A. Giordano") hereinafter referred to as "Claimants": Brian E. Whiteley, Esq., Scibelli, Whiteley

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 07-01010 Lawrence Begun, (Claimant) vs. Terra Nova Financial, LLC, (Respondent) ATTORNEYS: Claimant appeared pro se, Hanover, IL. Respondent did not submit an Answer to the Statement of Claim. NATURE OF DISPUTE: Customer vs. Member DATE FILED: March 23, 2007 CASE SUMMARY: Claimant alleged that Respondent entered incorrect trade information. Claimant further alleged negligence and failur

92-04330 N'.A.S.D. .AW.ARD NATIONAL ASSOCIATION OF SECLTlITrES DEALERS 111 the Matter or the .Arbitration Between .Vame or riaimantisi Stanley W. ;ind MaryAnna Jadwizyc Name of Respondent! s) PaineWebber. Inc. Garv J. Clark REPRESENTATION For Claimanis Stanley W. Jadwizyc and MaryAnna Jadwizyc: John A. Longeretta. Esq.. sole practitioner Utica. New York. For Respondents PaineWebber. Inc. and Gary Clark: Thomas Mierslua. Esq. in- hous