AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Roger W. Hein and 97-00300 Name of Respondent Kirkpatrick, Pettis, Smith, Polian Inc. Andrew Kane Sam Doyle REPRESENTATION OF PARTIES Roger W. Hein ("Claimant") was represented by Richard M. Foster, Esq., Cockrell, Quinn & Creighton, Denver, Colorado. Kirkpatrick, Pettis, Smith, Polian Inc. ("Respondent KPS"), Andrew Kan

N.A.S.D. STIPULATED AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Francis J. and Deborah Busher Case No. vs. 95-01065 Name of Respondents Kidder, Peabody & Co., Incorporated Steven Charron For Claimants, Francis J. and Deborah Busher ("Claimants"), appeared Michael Unger, Esq., of Goldstein & Manello located in Boston, Massachusetts. For Respondent Steven Charron ("Charron") appeared William Jacobs

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Cyrus Pakzad 95-02051 Name of Respondents Deanna M. Sandeman International Assets Advisory Corp. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 28, 1995, Claimant Cyrus Pakzad ("Claimant"), who appeared Pro Se, alleged that Respondents Deanna M. Sandeman ("Sandeman"), and In

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Lydia Thomson NASD Arbitration No. 92-01712 Name of Respondents Gilford Securities, Inc. Marvin Ingram Crowell Weedon & Co. Cameron Karg Shearson Lehman Mutton, Inc. John R. Williams REPRESENTATION For Claimant: Mitchell Cutler Green, Esq. - Los Angeles, California For Respondents: Shearson Lehman Hutton, In

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-02438 Smith Barney, a Division of Citigroup Global Markets, Inc. Name of the Respondent Hearing Site: Little Rock, Arkansas Daniel S. Holom Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Smith Barney, a Division of Citigroup Global Markets, Inc., hereinafter referred to as "Claimant": Lewis N. Carte

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Steven R. Dickinson and Sandra D. Dickinson, Claimants v. A.G. Edwards & Sons, Inc., Respondent Case Number: 06-00649 Hearing Site: San Francisco, California Nature of the Dispute: Customers v. Member REPRESENTATION OF PARTIES For Claimants: Paul W. Thomas, Esq. Thomas & Ataie L.L.P. Carlsbad, California For Respondent: James C. Browning, Jr., Esq. A.G. Edwards & Son

NASD Dispute Resolution —-i D SEP 0 5 2001 Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Gary Murray and Mary Murray v. Leo Saenger and Birchtree Financial Services Case Number: 99-03524 Hearing Site: No Hearing REPRESENTATION OF PARTIES Claimants Gary Murray and Mary Murray hereinafter referred to as ("Claimants"): represented by Steven Edward Dyer, Esq. of Webster Groves, MO. Respondent Birch

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Ronald Wagner, Individually and as Beneficiary of an IRA vs. Case Number: 02-02342 Hearing Site: Dallas, Texas Names of Respondents Morgan Stanley & Co., Incorporated; Morgan Stanley DW Inc.; and Edward Wayne Butkowsky NATURE OF THE DISPUTE Customer vs. Members and Associated Person REPRESENTATION OF PARTIES Ronald Wagner, Indi

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant/Counter-Respondent RBC Dain Rauscher, Inc. vs. Case Number: 06-00323 Hearing Site: Minneapolis, Minnesota Name of Respondent/Counter-Claimant/Third-Partv Claimant Daniel S. Gedatus vs. Name of Third-Party Respondent Eric Thompson NATURE OF THE DISPUTE Member vs. Associated Person; Associated Person vs. Member; and Associated Person vs. As

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Alan Leibson and Carol Leibson vs. Name of Respondent American Express Financial Advisors, Inc. n/k/a Ameriprise Financial Services, Inc. Case Number: 05-04910 Hearing Site: Louisville, Kentucky NATURE OF THE DISPUTE Customers vs. Member REPRESENTATION OF PARTIES Alan Leibson and Carol Leibson ("Claimants") were represented by Schuyler Olt,