NASD REGULATION, INC AWARD OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Name of Claimant MSS LTD Gibraltar 94-02011 Name of Respondents J.W. Bullard&Co. Inc. Cantella & Co. Inc. James W. Bullard Moshe Silver REPRESENTATION For Claimants MSS LTD Gibraltar ("MSS") and Zbiegniew Mazurek ("Mazurek")(collectively, "Claimants") appeared Jamie C. Rosenberg, Esq., of the law firm, Rosenberg, Singer & Bienbnstock.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Stephen Brandt FBO Stephen T. Brandt 94-02010 Name of Respondents Richard Banach North Shore Financial Planning CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 31, 1994, Claimant Stephen Brandt, who appeared Pro Se, alleged that Respondents Richard Banach ("Banach") and North S

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Bruce & Colleen Landy 94-02002 Name of Respondents Merrill Lynch Pierce Fenner & Smith Inc For Claimants, Bruce and Colleen Landy ("Landy"): Pro Ss. For Respondent, Merrill -Lynch Pierce Fenner & Smith, Inc. ("MLPFS"): Tracey L. Gerber, Esq. of Gunster Yoakley, Valdes-Fauli & Stewart, West Palm Beach, Florida. CASE INFORMATION

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Matrix Engineering, Inc. and 94-02001 Name of Respondent Stratton Oakmont, Inc. Risa Steinberg REPRESENTATION OF PARTIES Matrix Engineering, Inc. ("Claimant") was represented by Alyse I. Lasser, Esq., WMX Technologies, Inc., Oak Brook, Illinois and James D. Adducci, Esq., Schuyler, Roche & Zwirner, Chicago; Illinois.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Prudential Securities, Inc. 94-01999 Name of Respondent Byron C. Wiswell CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 1, 1994, Claimant Prudential Securities, Inc., through its representative and in-house counsel, Denis J. McCarthy, Esq., New York, N.Y., alleged that Respondent

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Aspen Capital Group 94-01998 Name of Respondent J.B. Oxford & Company CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 1, 1994, Claimant Aspen Capital Group, through its representative and Vice President, Robert V. Sherman, Esq., alleged that Respondent J.B. Oxford & Company, e

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Vladimir Kagalovsky 94-01994 Wall Street Equities, Inc. Claimant Vladimir Kagalovsky ("Claimant") appeared pro se. For Respondent Wall Street Equities, Inc. ("Respondent 1 ') appeared Ronald R. Berti, the Secretary/Treasurer of Wall Street Equities, Inc. located in New York, New York. CASE INFORMATION Statement of Claim

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Joan M. Panizza IRA and Panizza Family Trust A & B, Claimants v. FFP Securities, Inc., Elizabeth G. Norman, Douglas E. Norman and Retirement Specialists, Inc., Respondents Case Number: 01-03144 Hearing Site: Los Angeles, California For Claimants: For Respondent FFP Securities, Inc.: For Respondents Elizabeth G. Norman, Douglas E. Norman and Retirement Specialists, Inc.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 06-02230 Citigroup Global Markets, Inc. d/b/a/ Smith Barney Names of the Respondents Hearing Site: Tampa, Florida J. Tom King Walter Wood rick Raymond James & Associates, Inc. Nature of the Dispute: Member vs. Member and Associated Person. REPRESENTATION OF PARTIES For Citigroup Global Markets, Inc. d/b/a/ Smith Barney ("Citigroup or

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Case Number: 06-00892 Anthony Joseph Leonard Name of Respondent Hearing Site: Charlotte, North Carolina MFS Fund Distributors, Inc. Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES For Anthony Joseph Leonard ("Leonard"), hereinafter referred to as "Claimant": Joseph D. Singer, Esq., Singer Deutsch, LLP, New York, New