AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Cynthia Apichino vs. Case Number: 05-02099 Hearing Site: Dallas, Texas Names of Respondents InterSecurities, Inc., AFSG Securities Corporation, and Jeffrey William McClure NATURE OF THE DISPUTE Customer vs. Members and Associated Person REPRESENTATION OF PARTIES Cynthia Apichino ("Claimant") was represented by Lee Bowie, Esq., Davidson, Bowie

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Katherine L. Schrank vs. Names of Respondents RBC Dain Rauscher, Inc. and Michael L. Schrank Case Number: 05-06115 Hearing Site: Milwaukee, Wisconsin NATURE OF THE DISPUTE Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Katherine L. Schrank ("Claimant") was represented by David J. Hase, Esq., Cook & Franke S.C., Milwau

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant/Counter-Respondent Morgan Keegan & Company, Inc. vs. Case Number: 05-04413 Hearing Site: Dallas, Texas Name of Respondent/Counter-Claimant David M. Ritz NATURE OF THE DISPUTE Member vs. Associated Person REPRESENTATION OF PARTIES Morgan Keegan & Company, Inc. ("Morgan Keegan") was represented by Shea O'Brien Hicks, Esq., Morgan Keegan & Company,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Barbara J. Coleman, Claimant v. Morgan Stanley DW Inc. and Learned J. Hand, Respondents Case Number: 06-00496 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Donald E. Karpel, Esq. Law Offices of Zelner & Karpel Beverly Hills, California For Respondent Morgan Stanley DW Inc.: Ke

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Norman R. Fox (individually and as Trustee of the Fox Family Trust and as Custodian of the Norman Fox IRA and Custodian for: Mark R. Wdowicki, John S. Wdowicki, Katie M. Paznokas, and Brian W. Paznokas) and Claire N. Fox (individually and as Trustee of the Fox Family Trust and as Custodian of the Claire N. Fox IRA and Custodian for: Robert Jeffrey Bow, Gregory H. Bow, and Jennifer Nicol

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Kathy Horn-Dalton and Janet Johnson, Claimants v. Citigroup Global Markets, Inc. and Edwin D. Brolyer, Respondents Case Number: 05-05221 Hearing Site: Denver, Colorado Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES For Claimants: Steve A. Miller, Esq. Law Offices Steven A. Miller, P.C. Denver, Colorado For Respondents: Etta

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Vaggi Lieberman, individually and on behalf of the Vaggi Lieberman IRA; Katina Torino, individually and on behalf of the Katina Torino IRA; Alexis Lieberman; Lawrence Lieberman on behalf of the Lawrence Lieberman IRA; Seville Gardens; Katina & Associates, Inc.; Courtyard Apartments; and KV Development Corp. Pension Plan, Claimants v. Citigroup Global Markets Inc. f/k/a Salomo

NASD REGULATION, INC. OFFICE OF DISPUTE RESOLUTION IN THE MATTER OF THE ARBITRATION BETWEEN: ) ) EVEREN SECURITIES, INC., ) ) NASD CASE NO. 99-02314 Claimant, ) JAMES S.TUFFIELD, Respondent. STIPULATED AWARD REPRESENTATION For Claimant: Brad Busscher For Respondent: CASE INFORMATION Statement of Claim filed on: May 1 8, 1 999 Claimant's Submission Agreement signed on: May 18, 1999 Statement of Answer filed by Respondent

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 00-01001 Greg Cass, claimant vs. WestAmerica Investment Group and O.J. Wilkinson, respondents. ATTORNEYS: Claimant appeared Pro Se, Morrison, CO. For Respondent WestAmerica Investment Group appeared Gary R. Blume, Esq., Phoenix, AZ. For Respondent O.J. Wilkinson appeared Richard G. Himelrick, Esq., Phoenix, AZ. DATE FILED: March 7, 2000 CASE SUMMARY: Claimant alleged that the options

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Laura S. Fernandez (Claimant) vs. National Planning Corp., Securities America, Inc., ING Financial Partners, Inc. f/k/a Locust Street Securities, Inc., Paul J. Tolley, David O. Spinar, Danny D. Horn, Kevin Michael Laraia, and Karl Stephen Lindberg (Respondents) Case Number: 05-05078 Hearing Site: Cleveland, Ohio Nature of the Dispute: Customer vs. Members and Associated Persons