STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Dan J. and Becky Autrey vs. Case Number: 05-04700 Hearing Site: Houston, Texas Names of Respondents Citigroup Global Markets, Inc. f/k/a Salmon Smith Barney, Inc., Essex National Securities, Inc., Robert Lewis Edwards, and Karen Denise Danna NATURE OF THE DISPUTE Customers vs. Members and Associated Persons REPRESENTATION OF PART

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants John Valdrighi, Carol Valdrighi, and Clifford S. Hayes and Meredith Hayes, Trustees for Meredith Hayes Institutional Asset Account vs. Case Number: 05-02897 Hearing Site: Omaha, Nebraska Name of Respondent Citigroup Global Markets, Inc. NATURE OF THE DISPUTE Customers vs. Member REPRESENTATION OF PARTIES John Valdrighi, Carol Valdrighi, and

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant David Warren Cade vs. Case Number: 05-06224 Hearing Site: Houston, Texas Names of Respondents Amerifinancial, Anthony Joseph Fareri, and Candace Sametini NATURE OF THE DISPUTE Associated Person vs. Member and Associated Persons REPRESENTATION OF PARTIES David Warren Cade ("Claimant" or "Cade") was represented by Douglas L. Haynes, Esq., T

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Daniel G. Brandon vs. Case Number: 05-00474 Hearing Site: Dallas, Texas Names of Respondents Citigroup Global Markets, Inc. and Roger L. Metz NATURE OF THE DISPUTE Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Daniel G. Brandon ("Claimant") was represented by Paul B. Westbrook, Esq., Harris, Finley & Bogle, Fort Worth, T

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Mien Towbin and Gerald Towbin vs. Name of Respondent Ameriprise Financial Services, Inc. Case Number: 06-00093 Hearing Site: St. Louis, Missouri NATURE OF THE DISPUTE Customer vs. Member REPRESENTATION OF PARTIES Ilien Towbin and Gerald Towbin ("Claimants") were represented by Stuart R. Berkowitz, Esq., Law Office of Stuart R. Berkowitz, LL

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Citigroup Global Markets, Inc. vs. Case Number: 06-03428 Hearing Site: Chicago, Illinois Name of Respondent R. Thomas Loftin, III NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES Citigroup Global Markets, Inc. ("Claimant") was represented by Christopher J. Carney, Esq., Brouse McDowell, LPA, Cleveland, Ohio. R. Tho

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between nf Claimant Richard Kretz Princeton Equity Services, Inc. Southern Financial Group, Inc. David M. Wooten David I. Farber Hearing Site: Philadelphia, PA. Case No. 99-03389 Claimant, Richard Kretz, referred to as "Claimant": Hal K. Haveson, Esq., Haveson and Otis, Princeton, NJ. Respondents, Princeton Equity Services, Inc. (PES) and David I. Farber, were repre

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Connie S. Vanlerberg vs. Case Number: 06-03244 Hearing Site: Kansas City, Missouri Name of Respondent Gold Capital Management, Inc. NATURE OF THE DISPUTE Customer vs. Terminated Member REPRESENTATION OF PARTIES Connie S. Vanlerberg ("Claimant") was represented by Jeffrey S. Kruske, Esq., The Law Offices of Jeffrey S. Kruske, PA, Overland Park, Ka

May 2, 1989 Sandra A. Twigg, Senior Analyst National Association of Securities Dealers, Inc. 1735 K Street, N.W. Washington, D.C. 20006 Re: NASD Arbitration 88-03309 Cramer v. Power Securities; Bajorek; Eckert Dear Ms. Twigg: My decision in the above-referenced case follows: Respondent Power Securities Corporation, Ronald G. Bajorek, Jr. and David J. Eckert are jointly and severally liable and shall pay the sum of $1,040.00 to Claima

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Charles Schwab & Co., Inc. Claimant(s) vs. William J. Van Orden Respondent{s) NOTICE OF AWARD 88-03290 The undersigned, having been selected to review and determine a matter in controversy between the above-mentioned Claimant and Respondents, set forth in a submission to arbitration signed by the parties on Claimant on October 14, 1988 and by the Resp