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N.A.S.D. AWARD NAT1CNAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between ) Antonio Cittante Name of Resppndentfs] Shearson Lehman Hut ton, Inc. Case No. 91-00438 Heard before the members of the Arbitration Panel: Steven 0. Ellas, Esq. Public Abe Mintz Public Carl J. Hegner Industry Claimant, Antonio Cittante ("Cittante"), UBS represented by George Befeler, Esq. of Martinez Charlip Delgado & Befeler. Responde

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Wesley Doty, Dennis Pirosko, Sharon Schultz, Robert Muldoon, Gerard McMahon, Stephen Grenchik, and Kathy Kruhaj vs. Case Number: 03-07463 Hearing Site: Chicago, Illinois Names of Respondents Signator Investors, Inc. and Frank W.Tokoly, Jr. NATURE OF THE DISPUTE Customers vs. Member and Associated Person REPRESENTATION OF PARTIES

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Guy Sparkman, Claimant v. Charles Schwab & Co., Inc. and Cybertrader, Inc., Respondents Case Number: 06-04899 Hearing Site: Dallas, Texas Nature of the Dispute: Customer v. Members REPRESENTATION OF PARTIES For Claimant: Guy Sparkman ProSe Tyler, Texas For Respondents: Cheryl Jerome Moore, Esq. David R. Clouston, Esq. Christopher R. Richie, Esq. Shana

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Emerald Investments, Inc., John Plunkett, and Brian Coventry (Claimants) vs. Lempert Holding EST, George Milter, Eduard Orlov, Roman Orlov, Mitchell Borcherding, and Lempert Brothers International USA, Inc. (Respondents) vs. John Ince, Ross Rivard, Ray Thomas, and Wills Henriquez (Third Party Respondents) Case Number: 06-03216 Hearing Site: New York, New York Nature of the Dispute

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-03143 Mary P. Pennington Names of the Respondents Hearing Site: New Orleans, Louisiana Cuna Brokerage Services, Inc. Brad Frederick Fortier Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Mary P. Pennington, hereinafter referred to as "Claimant": Joseph F. Myers, Esq., Joseph F. Myers, L

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 99-03680 Trudy Truesdell Shields, claimant vs. Quick & Reilly, Inc. and Ameritrade, Inc., respondents. ATTORNEYS: Claimant appeared Pro Se., Ventura, CA. Respondent, Quick & Reilly, appeared through its Regional Representative, Brian McSherry, New York, NY. For respondent, Ameritrade, Inc., appeared in house counsel, Caroline F. Wyzykowski, Bellevue, NE. DATE FILED: August 10, 199

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-04107 Dawson James Securities, Inc. Name of the Respondent Hearing Site: Boca Raton, Florida John Scholtes Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Dawson James Securities, Inc., hereinafter referred to as "Claimant": Delmer C. Gowing, Esq., Ocean Ridge, Florida. For John Scholtes, hereinafter

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 05-05710 Reid B. Hughes, Sr., Individually and as Trustee of the Reid B. Hughes Revocable Trust of 1998 Names of the Respondents Hearing Site: Orlando, FL Merrill Lynch, Pierce, Fenner & Smith Inc. Gray A. Camp Bruce Arnold Chappell a/k/a Perry Chappell The Chappell Group Nature of the Dispute: Customer vs. Member and Associated Pe

AWARD NASD DISPUTE RESOLUTION In the Matter of the Arbitration Between: Citigroup Global Markets, Inc. vs. Dana Floyd Case Number: 06-04994 NATURE OF DISPUTE: Member vs. Customer. REPRESENTATION OF PARTIES: For Citigroup Global Markets, Inc., hereinafter referred to as "Claimant": Erin E. Mac Avoy, Esq., Alonso, Andalkar & Khan, P.C., New York, New York. Dana Floyd, hereinafter referred to as "Respondent", did not enter an appearance in this mat