Award NASD Dispute Resolution In the Matter of the Arbitration Between: Merrill Lynch, Pierce, Fenner & Smith Incorporated, Claimant v. Jerry L. Nichols and UBS Financial Services, Inc., Respondents Jerry L. Nichols, Counter-Claimant v. Merrill Lynch, Pierce, Fenner & Smith Incorporated, Counter-Respondent Case Number: 05-02916 Hearing Site: Phoenix, Arizona Nature of the Dispute: Member v. Member and Associated Person Associated Person v. Member

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Piper Jaffray & Co., Claimant v. Lawrence F. Kipp, Respondent Lawrence F. Kipp, Counter-Claimant v. Piper Jaffray & Co., Counter-Respondent Case Number: 04-08848 Hearing Site: San Francisco, California Nature of the Dispute: Member v. Associated Person Associated Person v. Member REPRESENTATION OF PARTIES For Claimant/Counter-Respondent Piper Jaffray & Co. ("Piper Jaffray")

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: John S. Surinchak and Linda L. Surinchak, Claimants v. Gilford Securities, Inc.; Cantella & Co., Inc.; Shane Redmond; Van Raphael Neely; and Porter Investment Group LLC, Respondents Case Number: 04-08830 Hearing Site: San Francisco, California Nature of the Dispute: Customers v. Members, Associated Persons, and Non-Member REPRESENTATION OF PARTIES For Claimants: Micha

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Rhoda Glass (Claimant) vs. American Express Financial Advisors, Inc., and Knut Lundberg (Respondents) Case Number: 05-00043 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Rhoda Glass hereinafter referred to as "Claimant": Daniel J. Donovan, Esq., Donovan and Rainie, LLC, Baltimore, MD. Res

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Norman Bulow (Claimant) vs. M.J. Whitman, LLC, David Barse, and Martin J. Whitman (Respondents) Case Number: 04-06877 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant Norman Bulow hereinafter referred to as "Claimant": Theodore G. Eppenstein, Esq., Eppenstein and Eppenstein, New York,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Marlene Bertman (Claimant) vs. Citigroup Global Markets, Inc. (f/k/a Salomon Smith Barney, Inc.) and Bernard Wytko (Respondents) Case Number: 04-04796 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Marlene Bertman hereinafter referred to as "Claimant" appeared pro se. Previously represented by

Award NASD Dispute Resolution In the Matter of the Arbitration Between: John J. Callanan (Claimant) v. UBS Financial Services, Inc., William B. Savino and John Borgese (Respondents) Case Number: 04-04384 Hearing Site: Newark, New Jersey Nature of the Dispute: Customer vs. Member and Associated Persons REPRESENTATION OF PARTIES Claimant John J. Callanan ("Claimant") hereinafter referred to as "Claimant": Peter S. Pearlman, Esq., Cohn Lilfand Pearlman

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Evelyn L. (Keller) Sullivan (Claimant) v. Paul R. Mata, IDS Life Insurance Company, and American Express Financial Advisors, Inc. (Respondents) Case Number: 04-03057 Hearing Site: Boston, Massachusetts Nature of the Dispute: Customer vs. Members and Associated Person. REPRESENTATION OF PARTIES Claimant Evelyn L. (Keller) Sullivan, hereinafter referred to as "Claimant": Richard W

* Award NASD Dispute Resolution In the Matter of the Arbitration Between: Washburne Capital Master Fund, Ltd., Washburne Capital Management, L.P., Washburne Capital Offshore Fund, Ltd., Washburne Capital Management, LLC (Claimants) v. ABN AMRO Securities, LLC, ABN AMRO Incorporated, ABN AMRO Bank N.V., UBS Securities LLC, and UBS Financial Services, Inc. (Respondents) Case Number: 03-07632 Hearing Site: New York, New York Nature of the Dispute: Customer

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Harry Webb and Mary Webb (Claimants) v. UBS PaineWebber, Inc., Sage, Rutty & Co., Joseph R. Tobin, Douglas Parker, and James Burke (Respondents) Case Number: 02-05012 Hearing Site: Buffalo, New York Nature of the Dispute: Customers vs. Members and Associated Persons. REPRESENTATION OF PARTIES Claimants Harry Webb ("H. Webb") and Mary Webb ("M. Webb") hereinafter collectively ref