AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Antonio Moscatiello vs. Case Number: 05-01989 Hearing Site: Pittsburgh, Pennsylvania Names of Respondents Walnut Street Securities, Inc., Alex P. Kline, and M & E Investment Group, Inc. NATURE OF THE DISPUTE Customer vs. Member, Associated Person and Non-Member REPRESENTATION OF PARTIES Antonio Moscatiello ("Claimant") was originally represen

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Gale A. Illig vs. Case Number: 06-03864 Hearing Site: St. Louis, Missouri Names of Respondents Citigroup Global Markets, Inc. and Richard David Winson NATURE OF THE DISPUTE Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Gale A. Illig ("Claimant") was represented by J. Chris Wehrle, Esq., Goldberg Wehrle, LLC, St. Louis, Misso

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Morgan Stanley DW, Inc., f/k/a Dean Witter Reynolds Inc. vs. Case Number: 05-05084 Hearing Site: Pittsburgh, Pennsylvania Name of Respondent Vincent Ross NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES Morgan Stanley DW, Inc., f/k/a Dean Witter Reynolds Inc. ("Claimant" or "Morgan Stanley") was represen

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Phillip J. Behnen vs. Case Number: 06-01380 Hearing Site: St. Louis, Missouri Names of Respondents A.G. Edwards & Sons, Inc. and Steven Holloway Garrett NATURE OF THE DISPUTE Associated Person vs. Member and Associated Person REPRESENTATION OF PARTIES Phillip J. Behnen ("Claimant") was represented by Allen P. Press, Esq. and James J. Simeri, Esq.

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Mac and Elaine Rosen, TTEES FBO the Mac and Elaine Rosen Trust, Claimants v. M. L. Stern & Co., Inc. and Brett Levinson, Respondents Case Number: 99-03642 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimants: Mac Rosen In Pro Per Laguna Woods, California For Respondents: James D. Portman, Esq. M. L. Stern & Co. Beverly Hills, California

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant/Counter-Respondent John A. Foley vs. Case Number: 06-01701 Hearing Site: Chicago, Illinois Name of Respondent/Counter-Claimant McDonald Investments, Inc., A KeyCorp Company NATURE OF THE DISPUTE Associated Person vs. Member REPRESENTATION OF PARTIES John A. Foley ("Claimant" or "Foley") was represented by Michael B. Roche, Esq. and Michael T.

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Marion Look-Jameson, on Behalf of and Derivatively for the Dwight Look Revocable Trust and the Estate of Dwight Look; and James F. Cornelius Polhans, Individually and as Trustee of the Johnny Dwight Look Trust vs. Case Number: 05-06565 Hearing Site: Houston, Texas Names of Respondents Steven Franco, John Goodman, Legg Mason Wood Walker, Inc

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 06-04734 Alfred M. Tortorich, Sr. Nancy Tortorich Names of the Respondents Hearing Site: New Orleans, Louisiana Dominic Palmisano Musso Mary Margaret Horan Nature of the Dispute: Customer vs. Associated Person. REPRESENTATION OF PARTIES For Alfred M. Tortorich, Sr. and Nancy Tortorich, hereinafter collectively referred to as "Claim

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 06-01009 Daniel C. Selby Brenda Jordan Selby Names of the Respondents Hearing Site: Richmond, VA Merrill Lynch, Pierce, Fenner & Smith, Inc. Richard C. McElroy, III Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Daniel C. Selby and Brenda Jordan Selby, hereinafter collectively referred to as

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Rayburn Enterprises, Ltd., Mesri 2001 Irrevocable Trust, and Nahid Salim, Claimants v. HSBC Securities (USA) Inc., Respondent Case Number: 06-01998 Hearing Site: Los Angeles. California Nature of the Dispute: Customers v. Member REPRESENTATION OF PARTIES For Claimants: Michael D. Dempsey, Esq. Dempsey & Johnson, P.C. Los Angeles, California For Respondent: Meredith L. Fr