Award NASD Dispute Resolution In the Matter of the Arbitration Between: Ala-Edin Drebi, Claimant v. Wells Fargo Brokerage Services, LLC and Phillip S. Loomis, Respondents Case Number: 02-00200 Hearing Site: San Diego, California REPRESENTATION OF PARTIES For Claimant: Leslie Schwaebe Akins, Esq. Akins & Villavicencio, L.L.P Carlsbad, California For Respondents: Robert T. Sullwold, Esq. Sullwold & Hughes San Francisco, California CASE

Stipulated Award NASD Dispute Resolution. Inc. In the Matter of the Arbitration Between: Paul J.LaFontaine, Claimant, vs. Donald J. Whitton, Seger Financial, Inc. (a/k/a Martha R. Seger Associates, Inc.), Martha R. Seger Financial Group, Julie A. Baetz, Damian S. Kassab, Susan R. Sofia, Dr. Martha R. Seger, Vincent Brennan and Jon V. Rogers, Respondent(s). Case Number: 99-03200 Hearing Site: Southfield, Michigan REPRESENTATION OF PARTIES

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the Claimant Delores V. Alibert, Individually and As Executrix of the Estate of Vernon F. Alibert Names nf the Respondents Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. Alexander E. Karkenney Case Number: 03-06749 Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Customer vs. Member and Associated Person. RF.

Modified Award NASD Dispute Resolution In the Matter of the Arbitration Between: Dr. Robert Barry Koehl, PhD., Sharon Cronin, Meredith L. Cronin, and Ruth Koehl ("Claimants") vs. Steven Cronin and JW Genesis Securities, Inc. ("Respondents") Case Number: 01 -02999 Hearing Site: New York City, New York REPRESENTATION OF PARTIES Claimants, Dr. Robert Barry Koehl, PhD ("Robert Koehl"), Sharon Cronin ("Sharon Cronin"), Meredith L. Cronin ("Meredith Cronin"),

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: nf the Claimant Case-. NnmViRr- 03-04574 UBS Financial Services Inc. Name offof ^ ps p n ndfTit T-Tpapng ftitp' Dallas, Texas James R. Hamaker NATTTRF OF Member Firm v. Associated Person FPttFSFNTATTf>V Claimant UBS Financial Services Inc., hereinafter referred to as "Claimant": Brent A. Burns, Esq. of Davidson & Grannum, LLP, located in Northv

Modified Award NASD Dispute Resolution In the Matter of the Arbitration Between: Robert Jason and Lauren Jason, (Claimants) vs. Continental Broker-Dealer Corp., Kenneth Evan Fuller, Joon Han Rhee, and Dominick Michael Bianco, (Respondents) Case Number: 01-03772 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Robert Jason ("R. Jason") and Lauren Jason ("L. Jason"), hereinafter collectively referred to as "Claimants", appeared pro se

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Steven Bernard and Dorothy A. Dobrath, (Claimants/CounterRespondents) v. Fidelity Brokerage Services, Inc., (Respondent/CounterClaimant) Case Number: 99-03589 Hearing Site: Chicago, Illinois REPRESENTATION OF PARTIES Claimant/CounterRespondent Steven Bernard ("Bernard") and Dorothy A. Dobrath ("Dobrath"), hereinafter collectively referred to as "Claimants": Arthur S. Leide

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Rosemary Wendland (Claimant) vs. Tucker Anthony, Incorporated, James English and Stephen A. Mongillo, Jr. (Respondents) Case Number: 01-02169 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Rosemary Wendland ("Claimant"): James R. O'Donnell, Jr., Representative for Claimant, LPL Financial Services, New Haven, CT. Respondents, Tucker Anthony, Inc. ("Tuc

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Citicorp Investment Services v. Hector N. Santacruz Case Number: 00-05475 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Citicorp Investment Services, hereinafter referred to as "Claimant": William T. Marshall, Jr., Esq., Zeichner Ellman & Krause, LLP, Newark, NJ. Respondent, Hector N. Santacruz, hereinafter referred to as "Respondent" appeared pro se.

NASD DISPUTE RESOLUTION MODIFIED AWARD NASD DISPUTE RESOLUTION CASE: 05-03979 Stewart Laurie McFaddcn, (Claimant) vs. Wells Fargo Investments, LLC, (Respondent) ATTORNEYS: Claimant appeared pro se, Colorado Springs, CO For Respondent appeared in-house counsel Thomas F. Kopshever, Esq.. San Francisco, CA. NATURE OF DISPUTE: Associated Person vs. Member DATE FILED: August 1,2005 CASE SUMMARY: Claimant alleged libel or slander on his Form U-5, Clai