Award NASD Dispute Resolution In the Matter of the Arbitration Between: Alexander Reidel (Claimant) vs. Correspondent Services Corporation (Respondent) Case Number: 06-03025 Hearing Site: Boston, Massachusetts " Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant Alexander Reidel hereinafter referred to as "Claimant": Dr. Gregor Guntner, Esq., Marzillier& Dr. Meier, Munchen, Germany. Respondent Correspondent Services Corpor

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Lucian J. Grimaldi (Claimant) vs. RBC Dain Rauscher, Inc., UBS Financial Services, Inc., State Street Bank and Trust Company, and First Trust Corporation (Respondents) Case Number: 05-01458 Hearing Site: Newark, New Jersey Nature of the Dispute: Customer vs. Members and Non-Members. REPRESENTATION OF PARTIES Claimant Lucian J. Grimaldi hereinafter referred to as "Claimant" appeared

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Bruce A. Diesing, individually and as Trustee of the Bruce A. Diesing Trust U/A dtd 6/1/93, Claimants v. A.G. Edwards & Sons, Inc. and Michael W. Shorten, Respondents Case Number: 06-02771 Hearing Site: Denver, Colorado Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES For Claimants: Montgomery G. Griffin, Esq. Law Offices of Montgomery G

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Bane of America Investment Services, Inc., Claimant v. Ronald P. Riggs, Respondent Ronald P. Riggs, Counter-Claimant v. Bane of America Investment Services, Inc., Counter-Respondent Case Number: 04-06228 Hearing Site: San Francisco, California Nature of the Dispute: Member v. Associated Person Associated Person v. Member REPRESENTATION OF PARTIES For Claimant/Counter-Respond

Award NASD Dispute Resolution In the Matter of the Arbitration Between: The Seidler Companies Incorporated, Claimant v. Canaccord Adams Inc., Respondent Case Number: 06-03723 Hearing Site: Los Angeles, California Nature of the Dispute: Member v. Member REPRESENTATION OF PARTIES For Claimant: Peter Dolan, Esq. The Dolan Law Firm Los Angeles, California For Respondent: Christopher G. Caldwell, Esq. Caldwell Leslie & Proctor, PC Los Angeles

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Dennis M. Hakeman and Sharon L. Hakeman vs. Case Number: 04-08803 Hearing Site: Chicago, Illinois Name of Respondent Salomon Smith Barney, Inc. n/k/a Citigroup Global Markets Inc. NATURE OF THE DISPUTE Customers vs. Member REPRESENTATION OF PARTIES Dennis M. Hakeman and Sharon L. Hakeman ("Claimants") were represented by James A. McGurk, Es

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Nancy M. Osborn, Guardian of Thomas R. McCain vs. Case Number: 06-00057 Hearing Site: Houston, Texas Names of Respondents Edward D. Jones & Co. and Joy Spellings NATURE OF THE DISPUTE Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Nancy M. Osborn, Guardian of Thomas R. McCain ("Claimant") was represented by Harold B. Came

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Patrick J. Carroll, Peter Ulrich and Christine Ulrich v. Gregory J. Schwartz & Co., inc., Gregory J. Schwartz, Gregory D. Schwartz, Jr., Walter G. Schwartz, Joseph E. Schwartz, and Judith M. Schwartz Case Number: 99-03673 Hearing Site: Southfield, Michigan REPRESENTATION OF PARTIES Claimants, Patrick J. Carroll, Peter Ulrich and Christine Ulrich, hereinafter collectively r

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Louis J. Schaufele, III vs. Case Number: 05-06473 Hearing Site: Dallas, Texas Names of Respondents Bane of America Investment Services, Inc. and Bane of America Corporation NATURE OF THE DISPUTE Associated Person vs. Member and Non-Member REPRESENTATION OF PARTIES Louis J. Schaufele, III ("Claimant") was represented by Richard A. Sayles, Esq., Sa

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Edward F. Ruberry, Karen B. Ruberry, and M & R Management Services, Inc. vs. Case Number: 04-00066 Hearing Site: Chicago, Illinois Names of Respondents Citigroup Global Markets, Inc. and Brian Maddox NATURE OF THE DISPUTE Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Edward F. Ruberry, Karen B. Ruberry,