Amended Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Gemini Systems Corporation N.V. Names of the Respondents Citigroup Global Markets, Inc. Maura G. McGourty-Poiesz Kenneth H. Malloy Michael Marchassalla Case Number: 05-05237 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Gemini Systems Corporation N

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 06-04172 V. Abraham Kurien Mary Kurien Name of the Respondent Hearing Site: Tampa, Florida Donald E. Davis Nature of the Dispute: Customer vs. Associated Person. REPRESENTATION OF PARTIES Claimants V. Abraham Kurien and Mary Kurien appeared pro se. For Respondent Donald E. Davis: Craig Glasser, Esq., Baritz & Colman, LLP, Boca Raton, F

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 06-01337 Robert A. Wyatt and Tracy Wyatt individually, and as Trustees of the Robert Wyatt Trust and the Tracy Wyatt Trust Names of the Respondents Hearing Site: Tampa, Florida Raymond James and Associates, Inc. Robert Kurvin Michael Voight Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 01-05763 Southwest Securities, Inc. Names of the Respondents Hearing Site: Boca Raton, Florida Alex Feldman Tiffany Rideaux Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Southwest Securities, Inc. ("SSI"), hereinafter referred to as "Claimant": George Brunelle, Esq., Brunelle & Hadjikow, New York, New

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-02692 Wachovia Securities, LLC Name of the Respondent Hearing Site: Boca Raton, Florida Alfredo J. Garcia Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Wachovia Securities, LLC, hereinafter referred to as "Claimant": Niall T. McLachlan, Esq., Carlton Fields, P.A., Miami, Florida. For Alf

"08/23/01 THU 14:25 FAX NASD REGULATION El002 Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Theresia L Lewis and Alfred B. Lev/is, (Claimants/Counter Respondents) v. Menill Lynch Fierce Fenner & Smith, Inc. and Louis Orlando Constantini, (Respondents/ Counter Claimant) 99-03698 Hearing Site: Albuquerque, New Mexico REPRESENTATION OF PARTIES • Claimants/Counter Respondents Theresia J. Lewis and Alfred B, Lewis, her

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Ricky J. Caudill on behalf of Ricky J. Caudill Rollover IRA, Claimant v. A.G. Edwards & Sons, Inc. and Lester Allen Stair, Respondents Case Number: 06-02853 Hearing Site: Phoenix, Arizona Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Howard A. Buchler, Esq. Law Offices of Howard A. Buchler Reno, Nevada For Res

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Elven Wrice, Claimant v. Drefus Service Corporation, Respondent Case Number: 06-02409 Hearing Site: San Francisco, California Nature of the Dispute: Claimant v. Member REPRESENTATION OF PARTIES For Claimant: Alec Adams, Esq. Law Offices of Alec E. Adams Hayward, California For Respondent: Jayme L. Butcher, Esq. Reed Smith LLP Pittsburgh, Pennsylvania Kirsten J. D

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Ellen Wolsten (Claimanat) vs. Merrill Lynch Pierce Fenner & Smith, Inc. (Respondent) Case Number: 05-06464 Hearing Site: Newark, New Jersey Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Ellen Wolsten hereinafter referred to as "Claimant": Vincent J. Imbesi, Esq., Avelino & Associates, P.C., New York, NY. Respondent Merrill Lynch Pierce Fenner & S

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Georgianna Dachs (Claimant) v. John James Investments, Ltd (Respondent) Case Number: 06-01471 Hearing Site: Buffalo, New York Nature of the Dispute: Customer v. Member. REPRESENTATION OF PARTIES Claimant Georgianna Dachs hereinafter referred to as "Claimant": Joanne A. Schultz, Esq., Law Office of Joanne A. Schultz, Centerville, VA. Respondent John James Investments, Ltd., herei