Award NASD Dispute Resolution In the Matter of the Arbitration Between: Shoou-Chyn Kan (Claimant) vs. Steven Wang, Dennis Maloney and Kenneth Chee (Respondents) vs. Unise Investment Corp. (Third Party Respondent) Case Number: 05-00781 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Associated Persons vs. Member REPRESENTATION OF PARTIES Claimant Shoou-Chyn Kan ("Kan") hereinafter referred to as "Claimant": Vincent J. Ba

Award NASD Dispute Resolution In the Matter of the Arbitration Between: The 1997 Robert H. Lorsch Family Trust, Claimant v. Salomon Smith Barney n/k/a Citigroup Global Markets, Inc. and McRee Winston Smith, Respondents Case Number: 05-00717 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Robert M. Yaspan, Esq. Yaspan & Thau Woodland Hills, California

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Citigroup Global Markets, Inc. f/k/a/ Salmon Smith Barney, Inc., Claimant v. Glenn A. Howard, Respondent Glenn A. Howard, Counter-Claimant v. Citigroup Global Markets, Inc. f/k/a Salmon Smith Barney, Inc., Counter-Respondent Case Number: 05-00612 Hearing Site: Portland, Oregon Nature of the Dispute: Member v. Associated Person Associated Person v. Member REPRESENTATION OF PA

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Ricardo T. Natale, Authorized Representative for Caborro, S.A. Names of Respondents Lehman Brothers, Inc. Lehman Brothers International Securities, Inc. Case Number: 05-00033 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Ricardo T. Natale, Authorized Representative for Caborro, S.A

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Dennis Darling (Claimant) v. Emmet & Co., Inc. and Christopher Emmet (Respondents) Case Number: 04-07730 Hearing Site: New York, New York Nature of the Dispute: Associated Person v. Member and Associated Person REPRESENTATION OF PARTIES Claimant Dennis Darling hereinafter referred to as "Claimant": Samuel J. Samaro, Esq., Pashman Stein, P.C., Hackensack, New Jersey. Respondents

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-03022 Charles Schwab & Co., claimant vs. Randall A. Goddard, respondent. ATTORNEYS: For Claimant Charles Schwab & Co. ("Claimant"), Diane C. Fischer, Esq., Gomberg Kane & Fischer, Ltd., Chicago, Illinois. Respondent Randall A. Goddard ("Respondent"), did not respond to the Statement of Claim. DATE FILED: 07/02/1999 CASE SUMMARY: Claimant maintained that on

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Roland Edward Engel vs. Robert Thomas Crothers, Gaines Berland, Inc. n/k/a Ladenburg Capital Management, Inc., and Bear Stearns Securities Corporation. Case Number: 04-07696 Hearing Site: Baltimore, Maryland Nature of the Dispute: Customer vs. Members and Associated Person REPRESENTATION OF PARTIES Claimant, Roland Edward Engel, hereinafter referred to as "Claimant", was not rep

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Alan Haenel (Claimant) vs. North Ridge Securities Corporation and Daniel Levy (Respondents) Case Number: 04-07630 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant Alan Haenel ("Haenel") hereinafter referred to as "Claimant": Noah Shapiro, Esq., Akabas & Cohen, New York, NY. Respondents N

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Mary E. Jacobs, IRA, Claimant v. McDonald Investments, Inc. and Matthew G. Presjak, Respondents Case Number: 04-07608 Hearing Site: Portland, Oregon Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Richard M. Layne, Esq. Layne & Lewis LLP Portland, Oregon For Respondents: Bruce L. Campbell, Esq. Miller Nash LLP

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Gregory Marshall, Valerie Marshall and Nickel City Sales, Inc. (Claimants) v. Signator Investment Company, Joseph S. Porto, John Hancock Financial Services and Goodwin Insurance Agency (Respondents) Case Number: 04-07109 Hearing Site: Buffalo, New York Nature of the Dispute: Customers v. Member, Associated Person and Non-Member REPRESENTATION OF PARTIES Claimants Greg