AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Michael K. Rainer and Lynn M. Rainier vs. Case Number: 05-00546 Hearing Site: Dallas, Texas Names of Respondents Citigroup Global Markets, Inc., f/k/a Salomon Smith Barney, Inc. and Thomas F. Macduff NATURE OF THE DISPUTE Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Michael K. Rainer and Lynn M. Rainier ("Claimants")

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Marion G. and Sharron Spencer vs. Case Number: 03-02982 Hearing Site: Dallas, Texas Names of the Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc.; David H. Komansky; Deepak D. Raj; and, Andrew J. Melnick NATURE OF THE DISPUTE Customers vs. Member and Associated Persons REPRESENTATION OF PARTIES Marion G. and Sharron Sp

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Arbitration National Association of SccuritlM D«al*rs, Inc. One East Broward Boulevard Suite 1000 Ft. lauderdale, Florida 33301 (305) 522-7391 In the Matter of the Arbitration Between Name of Claimant (a) Patrick McFarland Name of Respondent (a) Rober Financial Corporation Richard M. Gswlick Waterhouse Financial Inc. John J. Flynn, Jr. Michael Albert a/k/a

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the (fetter of the Arbitration Between ) Name of Clairrant{g) ) Judith Stavis ) ) Case No. 90-00140 Name of Respondent|a) ) Profile investments Corp. ) Robert Schlein ) Madlyn Ferro ) Alan Beshany ) Heard before the members of the Arbitration Panel: Casey W. Hills, Esq. Arieh Leo Douer George Silver % CASE SUMMtr This claim was filed with the National Associatio

tf.A.S.LI. NATICNBL ASSCdAOTCN OF SECURITIES DEALERS Arbitration National Aaaociation of Securities Oeatan. Inc. NASD Financial Center 33 Whitehall Street New YorK. New York 10004 In the Matter of the Arbitration Between Elizabeth M. Beecy vs Vincent Cortina Case # 90-00094 This claim was filed with the National Association of Securities Dealers, Inc. on January 5, 1990. The hearing was conducted in Boston, Massachusetts

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Scottrade, Inc., Claimant v. DMC Lending, Inc., Respondent Case Number: 06-02484 Hearing Site: Phoenix, Arizona Nature of the Dispute: Member v. Customer REPRESENTATION OF PARTIES For Claimant: Thomas L. Azar, Jr., Esq. Thompson Coburn, LLP St. Louis, Missouri For Respondent: The Company President DMC Lending, Inc. Fountain Hills, Arizona CASE INFORMATION Sta

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Bane of America Investment Services, Inc., Claimant v. Art De La Rosa, Respondent Art De La Rosa, Counter-Claimant v. Bane of America Investment Services, Inc., Counter-Respondent Case Number. 06-00390 Hearing Site: Los Angeles, California Nature of the Dispute: Member v. Associated Person Associated Person v. Member REPRESENTATION OF PARTIES For Claimant / Counte

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Mary Nassimi, Claimant v. Brookstreet Securities Corporation and Allen Haghighinia, Respondents Case Number: 05-05905 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Eric A. Woosley, Esq. Law Offices of Zilinskas & Woosley Santa Barbara, California For Respondents: Gregory J. Sh

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Maurice Sanchez, Claimant v. Citigroup Global Markets, Inc. and Jeremy J. Martinez and the Estate of Carl D. Weiner, Respondents Case Number: 05-04826 Hearing Site: Albuquerque, New Mexico Nature of the Dispute: Customer v. Member and Associated Persons REPRESENTATION OF PARTIES For Claimant: Paul Melendres, Esq. Melendres & Melendres Albuquerque, New Mexico For Responde

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Jerry and Margarita Ruchaevsky, (Claimants) vs. Edward F. Sadowski, (Respondent) Case Number: 01-03134 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Jerry Ruchaevsky ("J. Ruchaevsky") and Margarita Ruchaevsky ("M. Ruchaevsky"), hereinafter collectively referred to as "Claimants", appeared pro se at the hearing in this matter. Respondent, Edward F. Sadow