STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Stanley Beals, Gary Hall, Richard D. Almandi, Shirley Wong, Steven Schweitzer, and Bartlett Richards, III vs. Case Number: 05-06372 Hearing Site: Chicago, Illinois Name of Respondent CISC World Markets Corp. NATURE OF THE DISPUTE Customers vs. Member REPRESENTATION OF PARTIES Stanley Beals ("Beals"), Gary Hall ("Hall"), Richa

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 06-03717 Sandra Ronaldo, (Claimant) vs. David E. Farina, (Respondent) ATTORNEYS: "~ " For Claimant appeared Adam M. Green, Esq., of the firm Anapol, Schwartz, Weiss, Cohan, Feldman & Smalley, P.C., Philadelphia, PA. For Respondent appeared Marc Durant, Esq., of the firm Durant & Durant, Philadelphia, PA. NATURE OF DISPUTE: Customer vs. Associated Person "~~~ DATE FILED: August 9, 2006

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 06-04975 Citigroup Global Markets, Inc. d/b/a Smith Barney, (Claimant) vs. Robin L. Nichols, (Respondent) ATTORNEYS: For Claimant appeared Erin E. Mac Avoy, Esq., of the firm Alonso, Andalkar & Kahn, P.C., New York, NY. Respondent did not submit an Answer to the Statement of Claim. NATURE OF DISPUTE: Member vs. Customer DATE FILED: November 13, 2006 CASE SUMMARY: Claimant alleged th

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 06-05035 GunnAllen Financial, Inc., (Claimant) vs. Ryan Cole, (Respondent) ATTORNEYS: For Claimant appeared Michael S. Colombo, President/CEO of StreetWide Asset Recovery Group, Inc., Lyndhurst, NJ. Respondent appeared pro se, Chicago, IL. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: November 16, 2006 CASE SUMMARY: Claimant alleged that Respondent failed to repay monies ow

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Carolyn D. Lowe v. Salomon Smith Barney, Inc. Case No. 99-03604 Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For Claimant: Orville McKenzie, Esq. McKenzie & Associates, PLLC Sunrise, Florida For Respondent: James S. Goddard, Esq. Salomon Smith Barney, Inc. New York, New York CASE INFORMATION Statement of Claim filed on or about: August 6, 1999

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-06988 Lowell D. Adams Names of the Respondents Hearing Site: Atlanta, Georgia Edward D. Jones & Co. Charles Henry Wideman, III Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Lowell D. Adams, hereinafter referred to as "Claimant": Donna Linn Crossland, Esq., Taylor, Odachowski, Sperry &

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-03660 Nannette C. Smith Names of the Respondents Hearing Site: Richmond, VA Merrill Lynch, Pierce, Fenner & Smith Margaret Stancampiano Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Nannette C. Smith, hereinafter referred to as "Claimant", appeared pro se. For Merrill Lynch, Pierce, Fenner

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 05-02594 W. Rhett Perry Name of the Respondent Hearing Site: Columbia, South Carolina Sterne Agee & Leach, Inc. Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES For W. Rhett Perry, hereinafter referred to as "Claimant": Daniel M. David, Esq., Charleston, South Carolina. For Sterne Agee & Leach, In

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Anthony J. Clesi, Jr. Names of the Respondents Robert Valliant Brown JP Morgan Chase Bank NA Chase Investment Services, Corp. Case Number: 06-03758 Hearing Site: New Orleans, Louisiana Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Anthony J. Clesi, Jr., hereinafter referred to as "Claimant": J

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Robert E. Olson Names of the Respondents Southern Financial Group, Inc. Clelland David Collins, Jr. Richard McNair Wooten C. Dennis McKitrick Gerald Hunter Case Number: 02-00880 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Robert E. Olson ("Olson"), h