Award NASD Dispute Resolution In the Matter of the Arbitration Between: McDonald Investments Inc., Claimant v. David R. Cullity, Respondent Case Number: 06-04395 Hearing Site: Denver, Colorado Nature of the Dispute: Member v. Associated Person REPRESENTATION OF PARTIES For Claimant: Michael S. Colombo Streetwide Asset Recovery Group, Inc. New York, New York For Respondent: David R. Cullity ProSe Colorado Springs, Colorado CAS

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Robert Dupree and Karol Tarquinio, Claimants v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney Inc., Joseph L. Moure, and Stephanie Stroup, Respondents Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney Inc., Counter-Claimant v. Robert Dupree and Karol Tarquinio, Counter-Respondents Case Number: 00-02524 Hearing Site: Los Angeles, California Nature of th

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Kenneth W. Lee and Sheila M. Lee vs. Case Number: 96-01630 Hearing Site: Dallas, Texas Names of Respondents Stratton Oakmont, Inc., Daniel J. Gallagher, Karl P. Bachert, and Jennie M. Soria NATURE OF THE DISPUTE Customers vs. Terminated Member and Associated Persons REPRESENTATION OF PARTIES Kenneth W. Lee ("K. Lee") and Sheila M. Lee (

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant/Counter-Respondent SunAmerica Securities, Inc., n/k/a AIG Financial Advisors, Inc. vs. Case Number: 05-04433 Hearing Site: Dallas, Texas Name of Respondent/Counter-Claimant/ Third-Party Claimant Thomas L. Caughran vs. Names of Third-Party Respondents The Householder Group, Scott Allen Householder, Stephen M. Horvath, and Todd Allen Be

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 06-04953 William L. Huebner (Claimant) v. Fidelity Brokerage Services LLC (Respondent) ATTORNEYS: Claimant William L. Huebner appeared pro se, Detroit, Ml. For Respondent Fidelity Brokerage Services LLC appeared Kerry Florio Labovitz, in- house counsel, Fidelity Brokerage Services LLC, Boston, MA. NATURE OF DISPUTE: Customer v. Member DATE FILED: November?, 2006. CASE SUMMARY: Claimant

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 06-04887 Smith Barney, A Division of Citigroup Global Markets Inc. (Claimant) vs. Philip A. Burroughs (Respondent) ATTORNEYS: For Claimant appeared Lewis N. Carter, Esq., of the law firm of Doerner, Saunders, Daniel & Anderson, LLP, Tulsa, OK. Respondent did not submit an Answer to the Statement of Claim. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: November 7, 2006 CA

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 06-04453 H.D. Vest Investment Securities, Inc., (Claimant) vs. Garnett McNeil, (Respondent) ATTORNEYS: For Claimant appeared in-house counsel Brian A. Stern, Esq., Irving, TX. Respondent did not submit an Answer to the Statement of Claim. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: October 4, 2006 CASE SUMMARY: Claimant alleged that Respondent breached a contract by failing t

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Riccardo Candotti, (Claimant) vs. Ladenburg Thalmann & Co., Inc. and Luca Longobardi, (Respondents) Case Number: 99-03663 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Riccardo Candotti, hereinafter referred to as "Claimant": Mitchell H. Cobert, Esq., a sole practitioner, Morristown, NJ. Respondent, Ladenburg Thalmann & Co., Inc. ("Ladenburg"): David

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 06-04929 Susan M. Peters (Claimant) vs. Christopher Kenneally and Thrivent Investment Management (Respondents) ATTORNEYS: Claimant Susan M. Peters ("Claimant") appeared pro se, New York, NY. For Respondents Christopher Kenneally and Thrivent Investment Management ("Respondents") appeared Joel Wertman, Esq., of the firm Marshall, Dennehey, Warner, Coleman & Goggin, Philadelphia, PA. NATU

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Cheryl Taylor (Claimant) v. Legacy Financial Services, Inc., and Joseph R. Karsner, IV (Respondents) Case Number: 04-7344 Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Cheryl Taylor, hereinafter referred to as "Claimant": William B. Young, Jr., Esq., Hooper & Weiss, LLC, Or