Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Brian McVeigh, (Claimant) v. Morgan Stanley DW Inc., Mary Kay Aigner, Max Scholfield, (Respondents) Case Number: 01-03213 Hearing Site: New York, NY Nature of the Dispute: Customer v. Member and Associated Persons REPRESENTATION OF PARTIES » Claimant Brian McVeigh ("McVeigh") was represented by Howard Miller, Esq., Hackensack, NJ. Respondents Morgan Stanley DW

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-00566 Martin & Yvonne DuRoss Martin DuRoss IRA Martin DuRoss Roth IRA Yvonne DuRoss IRA Yvonne DuRoss Roth IRA Martin DuRoss Martin & Yvonne DuRoss, JTWROS Martin DuRoss IRA Yvonne DuRoss IRA Names of the Respondents Hearing Site: Washington, D.C. McDonald Investments Inc. James Richard Haught, II Raym

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Lockwin, LTD vs. Case Number: 06-01995 Hearing Site: Houston, Texas Name of Respondent ETrade Securities, LLC NATURE OF THE DISPUTE Customer vs. Member REPRESENTATION OF PARTIES Lockwin, LTD ("Claimant") was represented by W. Grim Locke, Managing Partner, Lockwin, LTD, Houston, Texas. E*Trade Securities, LLC ("Respondent" or "ETrade") was rep

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Robert H. Rewoldt vs. Names of Respondents Raymond James Financial Services, Inc. Raymond James & Associates, Inc., Raymond James Ltd., Inc., and Frank E. Hook Case Number: 05-06570 Hearing Site: Minneapolis, Minnesota NATURE OF THE DISPUTE Customer vs. Members and Associated Person REPRESENTATION OF PARTIES Robert H. Rewoldt ("Claima

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Dorothy P. Kring vs. Case Number: 05-06147 Hearing Site: Dallas, Texas Name of Respondent Pruco Securities, LLC NATURE OF THE DISPUTE Customer vs. Member REPRESENTATION OF PARTIES Dorothy P. Kring ("Claimant") was represented by Tricia L. Legittino, Esq., SimmonsCooper, LLC, East Alton, Illinois. Pruco Securities, LLC ("Respondent") was repre

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant/Counter-Respondent Jeffrey L. Lightfpot vs. Case Number: 05-05147 Hearing Site: Dallas, Texas Names of Respondents/Counterclaimants Southwest Texas Capital, LLC, f/k/a BrokerDeals.com, Inc. and BrokerDeals.com, LLC; and, Charles Lee Gallamore NATURE OF THE DISPUTE Associated Person vs. Member and Associated Person REPRESENTATION OF PARTIES

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Ralph Nugent and Marc Chambers vs. Case Number: 05-03883 Hearing Site: Dallas, Texas Name of Respondent SAL Financial Services, Inc. NATURE OF THE DISPUTE Customers vs. Member REPRESENTATION OF PARTIES Ralph Nugent ("Nugent") and Marc Chambers ("Chambers"), hereinafter collectively referred to as "Claimants," were represented by Jason B. Stephe

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Kathleen B. Keenan vs. Case Number: 04-07238 Hearing Site: Milwaukee, Wisconsin Names of Respondents Robert W. Baird & Co., Inc., Charles E. Hupe, and Ruth M. Kitzman NATURE OF DISPUTE Customer v. Member and Associated Persons REPRESENTATION OF PARTIES Kathleen B. Keenan ("Claimant") was represented by Kyle E. Hart, Esq., Fabyanske, Westra & H

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Pamela Madrid vs. Case Number: 04-06254 Hearing Site: Oklahoma City, Oklahoma Names of Respondents RBC Dain Rauscher, Inc. and Burton S. Lancaster, Sr. NATURE OF THE DISPUTE Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Pamela Madrid ("Claimant") was represented by Brian Guillorn, Esq., Napoli, Katser & Bern, LLP, New Yo

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Kevin Shaughnessy, Steve L. Cress, Rhonda Robinson, and Jonathon R. Lamkin vs. Case Number: 04-00199 Hearing Site: Houston, Texas Name of Respondent Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. NATURE OF THE DISPUTE Customers vs. Member REPRESENTATION OF PARTIES Kevin Shaughnessy, Steve L. Cress, Rhonda Robinson, and Jonathon