Award NASD Dispute Resolution In the Matter of the Arbitration Between: Sidney H. Goodman, individually and as Trustee of the Sidney H. Goodman Revocable 1991 Inter Vivos Trust and Doris B. Francis, individually and as Trustee of the Doris B. Francis Living Trust, Claimants v. Leslie C. Stipek and Stipek Securities LLC, Respondents Case Number: 05-01850 Hearing Site: Los Angeles, California Nature of the Dispute: Customers v. Member and Associated Person

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Wachovia Securities, LLC and Case Number: 05-01550 Hearing Site: Houston, Texas Name of Respondent Timothy Crawford, Jr. NATURE OF DISPUTE Member Firm v. Associated Person REPRESENTATION OF PARTIES Wachovia Securities, LLC ("Claimant" or "Wachovia") was represented by Thomas Volz, Esq., Kane & Fischer, LTD, Chicago, Illinois. Timothy Crawford,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Stephen Richard DeMarie (Claimant) v. Metlife Securities, Inc. and Rocco Capobianco (Respondents) Case Number: 05-01548 Hearing Site: Buffalo, New York Nature of the Dispute: Associated Person vs. Member and Associated Person REPRESENTATION OF PARTIES Stephen Richard DeMarie, hereinafter referred to as "Claimant": Donald G. McGrath, Esq., McGrath & Polvino, PLLC, Williamsville,

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Norma Simerson, Claimant v. Citigroup Global Markets Inc. and Andrew J. Jurun, Respondents Case Number: 04-00879 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Douglas Stenzel, Esq. Young & Stenzel Palm Springs, California For Respondents: Dena L. Murphy, Esq. David

Award NASD Dispute Resolution In the Matter of the Arbitration Between: The Frank and Lorraine Krajewski Revocable Trust, Claimant v. Salomon Smith Barney Inc., now known as Citigroup Global Markets Inc. and Eric B. Soiland, Respondents Case Number: 03-05615 Hearing Site: San Francisco, California Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Frank and Lorraine Krajewski Walnut Creek, Califo

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Steven Addis, TTEE FOB, Steven Addis Trust DTD 7-28-92, Claimant vs. Robertson Stephens, Inc., FleetBoston Financial Corp. and William Nelson Keller, Respondents Case Number: 03-05361 Hearing Site: San Francisco, California Nature of the Dispute: Customer vs. Member, Non-Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Michael G. Bolgatz, Esq. Law

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Fred A. Robinson and Julie W. Robinson (Claimants) v. Commonwealth Financial Network, Lenahan Financial, Inc., Lenahan Associates, Inc. and David Robert Lenahan (Respondents) Case Number: 03-04981 Hearing Site: New York, New York Nature of the Dispute: Customers v. Member, Non-Member and Associated Person REPRESENTATION OF PARTIES Claimants Fred A. Robinson ("F. Robinson"

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Stephen Levenson (Claimant) vs. Buckingham Research Group, Inc. (Respondent) Case Number: 99-03003 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant,Stephen Levenson ("Claimant"): Anju Uchima, Esq., New York, New York. Respondent, Buckingham Research Group, Inc. ("Respondent)": Timothy P. Kebbe, Esq., Uniondale, New York. CASE INFORMATION Statement of Claim fi

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: John J. Smith and Maria Schluter and John J. Smith IRA (Claimants) v. Merrill Lynch, Pierce, Fenner & Smith, Inc., George Edward Hagerty, Keith E. Hagerty, and Henry Blodget (Respondents) Case Number: 03-04887 Hearing Site: New York, New York Nature of the Dispute: Customers v. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant John J. Smith ("Smith") a

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-04598 and 03-04621 Maryann B. Lamantia, Claimant v. Legg Mason Wood Walker, Inc. and Kevin Wesner, Respondents. John F. Lamantia, Claimant v. Legg Mason Wood Walker, Inc. and Kevin Wesner, Respondents. ATTORNEYS: For Claimants, Maryann B. Lamantia and John F. Lamantia, (collectively "Claimants") appeared Ronald E. Lyons, E$q., Rockville, MD. For Respondents, Legg Mason Wood Walker, Inc.