Award NASD Dispute Resolution In the Matter of the Arbitration Between: Prudential Equity Group, LLC f/k/a Prudential Securities Incorporated, Claimant v. Rajai E. Najjar, Respondent Rajai E. Najjar, Counter-Glaimant v. Prudential Equity Group, LLC f/k/a Prudential Securities Incorporated, Counter-Respondent Case Number: 03-04734 Hearing Site: San Diego, California Nature of the Dispute: Member v. Associated Person Associated Person v. Member RE

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Maria L. Garcia, Claimant v. Grant Bettingen, Inc., Grant M. Bettingen, and George Abrahamsen, Respondents Case Number: 06-03317 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member and Associated Persons REPRESENTATION OF PARTIES For Claimant: For Respondents Grant Bettingen, Inc. and Grant M. Bettingen: For Respondent George Abrahamsen:

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Robert B. Sanet, Linda Z. Sanet, The Robert B. Sanet, OD Pension Plan/Trust, and The Sanet Family Trust, Claimants v. First Wall Street Corp. and Kent M. Houston, Respondents Case Number: 06-02306 Hearing Site: San Diego, California Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES For Claimants: James C. Krause, Esq. Vincent D. Slave

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant/Counter-Respondent Morgan Stanley DW, Inc. vs. Case Number: 04-03975 Hearing Site: Milwaukee, Wisconsin Names of Respondents/Counter-Claimants Louise E. Ladd, Louis J. Lukic, Tanya Smith, and Citigroup Global Markets, Inc., f/k/a Salomon Smith Barney, Inc. NATURE OF THE DISPUTE Member vs. Associated Persons, Non-Member and Member REPRESENTATION O

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. --—------__..—_••_»—_.-___«__--—------_--_------.---__._-•----.__-_ In the Matter of the Arbitration Between ) Michael Ehrlich, ) Claimant. } ) Case #88-01291 ) M8-00025 vs. ) Award Z.F. Hutton & Co., Inc. and Jerome Roaenstein, Respondents Heard before the members of the Arbitration Panel: Robin C. Campbell, Esq. Mr. Henry Talerico III Mr. John C. Nwsora CASE SUMMARY This

_ ' N.X.4.D. ANA8D • -. ASSOCIATION 0? SB3mm33 In th* Matter of th« Arbitration Anna f * P. Mbit* fc Co., loo. Sbon* teouritiM S«auritiM atat* Strwt StouribiM flb«vmn C*M tt X. XAXfcin CO., IOC. 6 AMOOiAtM X&O. Mddigvr TuOc«r Brun«r, mo. ) Arbitration Nctlonil AMocbrtton of BNurltlM DMt*r», Inc. Ont EMt Broward Boulevard Suit* 1000 Fl. Uuderdll*. Florid* 33301 (306) 522-7W1 Mb. 90-03334

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Randall S. Bova, (Claimant) vs. National Discount Brokers, Inc., (Respondent) Case Number: 99-03660 Hearing Site: New Yurk, New York REPRESENTATION OF PARTIES Claimant, Randall S. Bova, hereinafter referred to as "Claimant": Michael H. Ference, Esq., Sichenzia, Ross & Friedman LLP, New York, NY (Previously with Lampert, Lampert & Ference, New York, NY). Respondent, Nationa

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of "the Arbitration Between Joseph Alflen 90-03337 fR»U jt I \ Prudential-Bache Securities Inc. Steven R. Geraghty For Claimant: C. William Dahlin, Esq. and Son G. Broyles, Esq. of Hart, King & Coldren For Respondent: Micnele R. Fron, Esq. of Keesal, Young & Logan Statement of Haim filed: November 27, 1990 Claimant's Submission Agreement signed on: November 19, 1990

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter ;f -he Arbitration Between Kaved Berrou Claimant vs. jlobal Capital Securities, Inc. Dana Davis AWARD SASD NO. < ?0-0337J Rescondents REPRESENTATION Claimant Hayed 3errcu and Respondent Dana Davis represents- themselves at the hearing. Respondent Global Capital Securities did not send its representative to che hearing, relying instead on the pleadings previously filed.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between e of The Carlson Trust 90-03399 Municicorp of California For Claimant: Tinothy Carlson of 522 Sand Hill Circle, Menlo Park, CA 94025 For Respondent: George A. Rendon of RSR Capital Group, 6320 Canoga Avenue, Suite 410, Woodland Hills, CA 91367 Statement of Claim filed: December 3, 1990 Claimant's Submission Agreement signed on: December 14,