N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant David A. Balestrieri and Michael T. Keenan Name of Respondents Tten Value Equities Group, Inc.; ACvlCO Securities, Inc.; Michael V/ilhite; Michael Micl«aad; Marvin Friedman; Patrick C. Payne; Frank L. King; Gregory Fitzpatrick; Anthony Nori; and Philip B. Anderson NASD Arbitration No. 92-03922 For Claimants For Respon

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Charles Dtnte, Charie* Dante, Trustee, Tjg Dante, THoODliS Dante NASD *9MB761 For Servica, iiici- oT Wdodftn^l Hflli, Catiftmii ., of tavwton AzUtatiOB For CliteynttThoAu Dante: Hffls, Cafifiocob. • ForReapondrntt ArttarSobd, ft«., of B«eoiB Lynch, Pierce Fanner ft Smth. Inc., of New York, New Ycnk. Suoemv* of Hun fifed: Novenaber 6,199

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Joe E. and Mary R. Greenhaw 92-04106 Name of Respondents Putnam Financial Services, Inc. CASE SUMMARY In .-.Kim tiled *«li the National Association of Securities Dealers. J.«.;;. o^ De'-.snfnftr 7. 1992, Claimants Joe E. and Mary R. Greenhaw, \vho appealed Pro lit:-, alleged that on Decemlier 8, 1987 Respondent Putnam Financia

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Mitch Sivertson, Claimant v. Citigroup Global Markets, Inc., Respondent Case Number: 06-03398 Hearing Site: Phoenix, Arizona Nature of the Dispute: Associated Person v. Member REPRESENTATION OF PARTIES For Claimant: Derek C. Anderson, Esq. Anderson Law Firm Boulder, Colorado For Respondent: Jerry Santangelo, Esq. Neal, Gerger & Eisenberg LLP Chicago, Illinois

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Robert J. Knight, Claimant v. Merrill Lynch, Pierce, Fenner & Smith Incorporated, Patricia Gail Williams and George Scott Ralston, Respondents Case Number: 06-03430 Hearing Site: San Francisco, California Nature of the Dispute: Associated Person vs. Member and Associated Persons REPRESENTATION OF PARTIES For Claimant: Timothy A. Canning, Esq. Attorney At Law Novato, Californ

Award NASD Dispute Resolution In the Matter of the Arbitration Between: John W. Huber, individually and on behalf of the John W. Huber, IRA, Claimant v. Royal Alliance Associates, Inc., Respondent Case Number: 05-06580 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member REPRESENTATION OF PARTIES For Claimant: Jon C. Furgison, Esq. Law Offices of Jon C. Furgison Hermosa Beach, California Brandon S. Reif, Esq. L

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS in the Alaner of the Arbitration Between Name of Tony C. Canonie. Jr. No. of Respondents Kidder, Peabody & Co., Incorporated Rfcnard Held OF For Claimant: Marie E. King, Esq. , of the Law Finn of David B. Kabn Ltd. , Chicago, fllinois. For Respondents: Richard Kelly, Esq.. \ r ioe President, Associate General Counsel, Kidder, Peabody &. Co., lacoipowed, New York. New York.

N.A.S.D. AWARD NAT.IQNAT. ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant (s) Richard S. Kentera and Valerie Jean Kentera, Trustees, The Kentera Family Trust u/a/d 9/19/89 NASD Arbitration No. 92-03633 Natng of Respondent f s } Prudential Securities Incorporated For Claimants: Walter L. Baumgardner, Esq., Musilli, Baumgardner,- Wagner & Parnell, St. Clair Shores, Michigan For Resp

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Alan M. Poise Trust, Alan Poise, Ruth Poise, Julie Poise, and Alan M. Poise Profit Sharing Plan, (Claimants) v. D.H. Blair & Company, Harrington Capital Group, L.P., and Richard A. Gaydos, n, (Respondents) Case Number: 99-03671 consolidated with Robert J. Ficek on behalf of Robert J. Ficek IRA, Jean Ficek, and Susan Ficek, (Claimants) v. D.H. Blair & Company, Barrington Ca

NJL&D. AVARD NATIQNAT. ASyiCTATTOM QP SFrrmTTTgS mf AT.FHS, In the nutter of toe Arbitnnon Bttweeu Awry Greene tad Jennifer Greene, ExKuton for the Eatttc of Kerrey B.Gneae, •nd M Trwtttt < rf the Gretne Ftmiljr Tnuc NASD No. 92-03695 Prod«ty S«curitiM, IDC. M/t Prodaariil Hirhn Secnnao. Inc. Por Ckimam: Senait C GoUba^ Eiq.- Aimtn, T For Rrtpondcntr Terry RON, Esq. uul WJUkm J. Bridgen, Etq. • K«nn1, Young ft Loaf B«du GdiforniA Stwm