Stipulated Award NASD In the Matter of the Arbitration Between: Names of the Claimants Case Number: 01-02844 Jaime E. Barrera and Martha E. Barrera, JTWROS Names of the Respondents Hearing Site: Boca Raton, FL Richard Murtagh and Salomon Smith Barney, Inc. REPRESENTATION OF PARTIES For Jaime E. Barrera and Martha E. Barrera, JTWROS, hereinafter collectively referred to as "Claimants": Darren C. Blum, Esq., Law Offices of Darren Blum, Plantation, FL.

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Mitchel Cricchio and Sheri Cricchio and John Locke and Connie Locke v. Alan Dyckman, Northeast Securities Inc., Patrick J. Soltis, and Ronald Zajack Case Number: 00-00907 Hearing Site: Houston. Texas REPRESENTATION OF PARTIES Claimants Mitchel and Sheri Cricchio and John and Connie Locke hereinafter collectively referred to as "Claimants": Deborah Junek, Esq., of Gwenn & R

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Floyd Wiggins vs. Case Number: 05-03953 Hearing Site: Houston, Texas Names of Respondents A.G. Edwards & Sons, Inc. and Brent Steven Lemons NATURE OF THE DISPUTE Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Floyd Wiggins ("Claimant") was represented by Debra Brewer Hayes, Esq., Woska & Hayes, LLP, Kingwood, Texas until

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Mark E. Laurnen and Cynthia J. Laurnen vs. Names of Respondents Raymond James Financial Services, Inc., Dennis A. Leonida, and Capital Financial Group, Inc. Case Number: 05-01668 Hearing Site: Denver, Colorado NATURE OF THE DISPUTE Customers vs. Member, Associated Person, and Non-Member REPRESENTATION OF PARTIES Mark E. Laurnen and Cynt

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Gary T. Haas vs. Case Number: 05-01663 Hearing Site: Chicago, Illinois Names of Respondents CIBC World Markets Corp. and James Elton Maxwell, Jr. NATURE OF THE DISPUTE Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Gary T. Haas ("Claimant") was represented by Arthur L. Leider, Investor Arbitration Specialists, Inc., San D

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Ronnie Stockholm vs. Case Number: 04-05719 Hearing Site: Houston, Texas Names of Respondents Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc., Kurt Russell Stockholm, and Thomas Edward Lanza NATURE OF THE DISPUTE Customer vs. Member and Associated Persons REPRESENTATION OF PARTIES Ronnie Stockholm ("Claimant") was represented b

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant / Counter-Respondent Solaris Opportunity Fund, LP vs. Case Number: 06-00279 Hearing Site: Chicago, Illinois Names of Respondents STG Secure Trading Group, Inc., Penson Financial Services, Inc., Scott David Budner, and Alan David Weiner and Counter-Claimants / Third-Party Claimants STG Secure Trading Group, Inc., Scott David Budner, and Alan D

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Guy M. Adams and Linda Adams vs. Case Number: 05-05519 Hearing Site: Dallas, Texas Name of Respondent Bane of America Investment Services, Inc. NATURE OF THE DISPUTE Customers vs. Member REPRESENTATION OF PARTIES Guy M. Adams and Linda Adams ("Claimants") were represented by Chris Fehr, Esq. and Sean M. Keane, Esq., SimmonsCooper LLC, East Alto

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants David B. Pecovish and Deborah L. Pecovish, Individually and as Custodians for Justin Pecovish, UPAUTMA and Whitney Pecovish, UPAUTMA vs. Case Number: 05-04912 Hearing Site: Pittsburgh, Pennsylvania Names of Respondents NFI Network, LLC; Network for Financial Independence, LLC; David E. Martin; Paulette Thomas; and Daniel Frederick Rae Name

Award NASD In the Matter of the Arbitration Between: Name of the Claimant Scott G. Rau Names of the Respondents Morgan Stanley Dean Witter Case Number: 01-02843 Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For Scott G. Rau hereinafter referred to as "Claimant': Marc S. Dobin, Esq., Dobin & Jenks, LLP. Jupiter, Florida. For Morgan Stanley Dean Witter hereinafter referred to as "Respondent": Bradford D. Kaufman, Esq., Joseph