NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 06-03391 Joseph L. Stefens and Susan P. Stefens, (Claimants) vs. Ameritrade, Inc., (Respondent) ATTORNEYS: Claimants appeared pro se, Emmaus, PA. For Respondent appeared in-house counsel James J. Vihstadt, Esq., Bellevue, NE. NATURE OF DISPUTE: Customers vs. Member DATE FILED: July 18, 2006 CASE SUMMARY: Claimants alleged that Respondent owes them dividends. Claimants maintained tha

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Catherine Tranchida (Claimant) vs. PNC Investments, LLC and Kenneth P. Wenger (Respondents) Case Number. 05-05047 Hearing Site: Newark, New Jersey Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant Catherine Tranchida hereinafter referred to as "Claimant": Richard A. Schnoll, Esq., Cohn Lifland Pearlman Herrmann & Knopf, LLP, Sadd

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Mary Beth Reymann (Claimant) vs. Sun Trust Securities, Inc. and Vincent Luongo (Respondents) Case Number: 05-04033 Hearing Site: Cleveland, Ohio Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant Mary Beth Reymann hereinafter referred to as "Claimant": Lawrence J. Scanlon, Esq., Scanlon & Co., L.L.C. and Gerald P. Leb,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Anna M. Rodrigues TTEE FBO Anna M. Rodrigues Lvg. Tr. u/a/d 05/26/00 (Claimant) vs. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney and Joseph Saporito (Respondent) Case Number: 04-07116 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Anna M. Rodrigues FBO Anna M. Rodrigues Lvg. Tr. u

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Jeanne Van Order, Claimant v. Securities America, Inc. and Michael S. Bagocus, Respondents Case Number: 05-05540 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Ryan K. Bakhtiari, Esq. Aidikoff, Uhl & Bakhtiari Beverly Hills, California For Respondents: Steven J. Joffe, Esq.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: The Tanya Martino Trust DAD 4/18/97, Claimant v. A.G. Edwards & Sons, Inc., Robert W. Burns, and John J. Humphrey, Respondents Case Number: 05-01685 Hearing Site: Los Angeles. California Nature of the Dispute: Customer v. Member and Associated Persons REPRESENTATION OF PARTIES For Claimant: Jeff D. Ferentz, Esq. Nationwide Securities Arbitration Services, Inc. Newport Be

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Bernard Greenapple, individually and on behalf of the Bernard Greenapple IRA DWR Retirement Account #1 and Bernard Greenapple IRA DWR Retirement Account #2; Min Greenapple, individually and on behalf of the Min Greenapple IRA DWR Retirement Account; Greenapple Revocable Trust 3/21/90 #1; and Greenapple Revocable Trust 3/21/90 #2, Claimants v. Morgan Stanley DW Inc.; Noha M. A

Award NASD Dispute Resolution COPY In the Matter of the Arbitration Between: John G. and Helen M. Carlson, Claimants v. Citigroup Global Markets, Inc. and Austin N. Heberger, Jr., Respondents Case Number: 04-03476 Hearing Site: Los Angeles, California Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES For Claimants: John G. Carlson In Propria Persona and as Personal Representative for Helen M. Carl

Award NASD Dispute Resolution In the Matter of the Arbitration Between: First Union Securities, Inc., (Claimant) vs. Frederick E. Palmer, (Respondent) Case Number: 01-03211 Hearing Site: Boston, Massachusetts REPRESENTATION OF PARTIES Claimant, First Union Securities, Inc., hereinafter referred to as "Claimant": Diane C. Fischer, Esq., Kane & Fischer, Ltd., Chicago, IL. Previously represented by: Renan I. Sugarman, Esq., Senior Vice President and Assist

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Dr. Jean H. Savage, Claimant v. Morgan Stanley DW Inc., Martin W. Pernoll, James F. Burke, Nick T. Garris, Jr., and Orlo B. Elfes, III, Respondents Martin W. Pernoll, Cross-Claimant v. Morgan Stanley DW Inc., Cross-Respondent Case Number: 02-07676 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member and Associated Persons Associated Person v. Me