Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Carol Ludford, Lois Stritzinger, and Norma Haberstroh as Executors for the Estate of Norman Pecora (Claimant) vs. A.G. Edwards & Sons, Inc., James Barrett, and Karl Riner (Respondents) •" Case Number: 06-03205 Hearing Site: Buffalo, New York Nature of the Dispute: Customer vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant The Estate of Norman Pecor

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 06-04982 Citigroup Global Markets, Inc. d/b/a Smith Barney, (Claimant) vs. Linda Ramirez Sanchez, (Respondent) ATTORNEYS: For Claimant appeared Erin E. Mac Avoy, Esq., of the firm Alonso, Andalkar & Kahn, P.C., New York, NY. Respondent did not submit an Answer to the Statement of Claim. NATURE OF DISPUTE: Member vs. Customer DATE FILED: November 10, 2006 CASE SUMMARY: Claimant alleg

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 06-05308 Jacob Birnbaum, (Claimant) vs. Worldco LLC, (Respondent) ATTORNEYS: Claimant appeared pro se, New York, NY. Respondent did not submit an Answer to the Statement of Claim. NATURE OF DISPUTE: Associated Person vs. Terminated Member DATE FILED: December 9, 2006 CASE SUMMARY: Claimant alleges libel/slander on her Form U-5. Claimant requested an Order expunging certain language from

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 05-02227 David E. Young David E. Young, IRA Lisamarie Young Lisamarie Young, IRA David E. Young and Lisamarie Young, JTWROS Names of the Respondents Hearing Site: Birmingham, Alabama A.G. Edwards & Sons, Inc. Rene Marques Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For David E

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-02248 Ronald W. Pankey Names of the Respondents Hearing Site: Charlotte, North Carolina Wachovia Securities, LLC Elbert Hilton Holt, Jr. Nature of the Dispute: Associated Person vs. Member and Associated Person. REPRESENTATION OF PARTIES For Ronald W. Pankey, hereinafter referred to as "Claimant": Sarah G. Anderson, Esq., Sarah G. And

Award NASD Regulation, Inc. In the Matter of the Arbitration Between William Leonard Bell Case No. 99-03704 J.W. Charles Securities, Inc Off PARTIES William Leonard Bell ("Bell"), hereinafter referred to u "Claimant" appeared Kfi fifi For J W. Charles Securities, Inc. ("JW Charles"), hereinafter referred to n "Respondent": Gregory S Tendrich, Esq., of J.W, Charles Securities, Inc., Boca Raton, Florida. Statement of Claim filed on or about; Augus

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-07082 Marshall Z. Solomon Names of the Respondents Hearing Site: Boca Raton, Florida Citigroup Global Markets, Inc., f/k/a Salomon Smith Barney, Inc., Raju M. Pathak Robert Haag Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Claimant, Marshall Z. Solomon, hereinafter referred

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant/Counter-Respondent Advanced Equities, Inc. vs. Case Number: 06-05290 Hearing Site: Chicago, Illinois Names of Respondents/Counter-Claimants James E. "Buddy" Maxwell, Jr., Jem P. Maxwell, Angela Pinto, Ryan C. Stengle, Joseph M. Baffoe, Richard P. Lynch, Chicago Investment Group Advisors, LLC, and Chicago Investment Group of Illinois, LLC a/k/a Chicag

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Adrea Lynn Brier (formerly known as Adrea Brier Coleman) Individually and as Trustee of the Adrea Lynn Brier Moonbeam 2002 Living Trust, Claimants v. Citigroup Global Markets, Inc. and James Stacy Venetos, Respondents Case Number: 06-02458 Hearing Site: San Francisco, California Nature of the Dispute: Customers vs. Member and Associated Person REPRESENTATION OF PARTIES For Claim

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Laurie Barnes Schumpert, Claimant v. UBS Financial Services Inc. (f/k/a UBS PaineWebber Inc.), Respondent Case Number: 06-03852 Hearing Site: Houston, Texas Nature of the Dispute: Customer v. Member REPRESENTATION OF PARTIES For Claimant: Dale Ledbetter, Esq. Adorno & Yoss Fort Lauderdale, Florida For Respondent: Rebecca E. Swenson, Esq. UBS Financial Services,