Award NASD Dispute Resolution In the Matter of the Arbitration Between: Amanda M. Evans f/k/a Amanda Samberg, Claimant v. Merrill Lynch, Pierce, Fenner & Smith Incorporated, Morgan Stanley DW Inc., Colleen L. Erickson, Steven A. Hild, Steven Samberg, and Leon Samberg, Respondents Case Number: 05-01956 Hearing Site: San Francisco, California Nature of the Dispute: Customer v. Members, Non-Members, and Associated Persons REPRESENTATION OF PARTIES For

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Citigroup Global Markets Inc., Claimant v. Jon A. Strine, Respondent Jon A. Strine, Counter-Claimant v. Citigroup Global Markets Inc., Counter-Respondent Case Number: 06-00468 Hearing Site: Seattle, Washington Nature of the Dispute: Member v. Associated Person Nature of the Dispute: Associated Person v. Member REPRESENTATION OF PARTIES For Claimant/Counter-Respondent: Eric D. La

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Citigroup Global Markets, Inc. (f/k/a Salomon Smith Barney Inc.), Claimant v. Stephen W. Horn, Respondent Case Number: 06-03793 Situs: Dallas, Texas Nature of the Dispute: Member v. Associated Person REPRESENTATION OF PARTIES For Claimant: W. Jerad Rissler Kutak Rock LLP Atlanta, Georgia Respondent did not enter an appearance in this matter CASE INFORMATION State

Award NASD Dispute Resolution In the Matter of the Arbitration Between: David Burow, Claimant v. UBS Financial Services, Inc., Respondent Case Number: 05-02625 Hearing Site: San Francisco, California Nature of the Dispute: Customer v. Member REPRESENTATION OF PARTIES For Claimant: • Burton V. McCullough, Esq. Law Office of Burton V. McCullough La Canada Flintridge, California For Respondent: Cameron Stout, Esq. Keesal, Young & Logan

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Eugene Ko, Claimant v. World Marketing Alliance, Inc., World Financial Group, Inc., WMA Securities, Inc., World Group Securities, Inc., Steeley H. Humphrey, Jr., Pei Ney Ooi, Yuh-Jiun Chen and Yvonne I. Mei, Respondents Yvonne I. Mei, Counter-Claimant v. Eugene Ko, Counter-Respondent Case Number: 03-02841 Hearing Site: San Francisco, California Nature of the Dispute: Associated Pers

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Michael J. Sullivan and Sarah S. Sullivan, Claimants v. Goldman, Sachs & Co., and Goldman Sachs Group, Inc., Respondents Case Number: 06-00825 Hearing Site: San Francisco, California Nature of the Dispute: Customers v. Member and Non-Member REPRESENTATION OF PARTIES For Claimants: Val D. Hornstein, Esq. Hornstein Law Offices, P.C. San Francisco, California For Respondent

Award NASD Dispute Resolution In the Matter of the Arbitration Between: ThinkEquity Partners LLC, Inc., Claimant v. Robert W. Baird & Co., Incorporated, Trace A. Urdan, Cornelia C. Weggen and Jeffrey S. Lee, Respondents Trace A. Urdan and Cornelia C. Weggen, Counter-Claimants v. ThinkEquity Partners LLC, Inc., Counter-Respondent Trace A. Urdan and Cornelia C. Weggen, Third-Party Claimants v. Ann Charlotte McCague, Third-Party Respondent Case Number

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Guy R. Cathcart and Patricia Cathcart Claimants v. Stephen M. Zanolli and Merrill Lynch, Pierce, Fenner & Smith Incorporated, Respondents Case Number: 04-02776 Hearing Site: San Francisco, California Nature of the Dispute: Customers v. Associated Person and Member REPRESENTATION OF PARTIES For Claimants: Gary R. Gleason, Esq. Farbstein & Blackman San Mateo, California Mi

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Eduardo Mariano and Bernice Mariano, Claimants v. Stipek Securities, LLC and Leslie C. Stipek, Respondents Case Number: 06-01073 Hearing Site: Los Angeles, California Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES For Claimants: For Respondents Stipek Securities, LLC and Leslie C. Stipek: Steven L. Miller, Esq. Law Offi

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-02844 David Larkin Annette Larkin Names of the Respondents Hearing Site: Boca Raton, Florida Morgan Stanley DW, Inc. DennisWitkowski Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For David Larkin ("D. Larkin") and Annette Larkin ("A. Larkin"), hereinafter collectively referred to as