Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Morton Goldberg Elaine Goldberg Morton Goldberg TTEE Morton H. Goldberg Rev Trust U/A DTD 12/03/99 Names of theRespondents Morgan Stanley Dean Witter, Inc. Kenneth J. Venable Robert DiGiacomo Case Number. 04-05584 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer v. Member and Associated Person. REPRES

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants William H. Owen, III & Ann B. Owen, jointly William H. Owen, III SSB IRA Custodian Asset One Account William H. Owen, III SSB IRA Custodian IRA Account Names of the Respondents Citigroup Global Markets, Inc. F/D/B/A Salomon Smith Barney, Inc. Randall Bullard (aka Randy Bullard) Case Number: 04-02145 Hearing Site: Raleigh, Nor

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-01675 Patricia E. Rausch Names of the Respondents Hearing Site: Baltimore, Maryland American Express Financial Advisors, Inc. Gary S. Williams Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Patricia E. Rausch , hereinafter referred to as "Claimant": Stephen Murakami, Esq., Hooper

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Case Number: 03-02522 Constance and Cynthia Nigro, individually and as Trustees of various family trusts Names of Respondents Hearing Site: Boca Raton, Florida The Barry Financial Group, Inc. Asset Management Securities Corp. James M. Barry James A. Barry, Jr. Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATI

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Hari S. Dadlani (Claimant) v. Quick & Reilly, Inc. and U.S. Clearing Corp. (Respondents) Case Number: 99-04954 Hearing Site: Buffalo, New York Nature of the Dispute: Customer vs. Members. REPRESENTATION OF PARTIES Claimant Hari S. Dadlani hereinafter referred to as "Claimant": Jessica Reynolds-Amuso, Esq., Reynolds & Henehan, Avon, NY. Previously represented by Larry Kerman,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Manouchehr Malek, Claimant v. Pellet Investments, Inc., Ronald N. Pellet, Kenneth R. Kadan, Neil D. Silver and Edwin Dogobert Bransome, III, Respondents Case Number: 97-01498 Hearing Site: Los Angeles, California Nature of the Dispute: Customer vs. Member and Associated Persons REPRESENTATION OF PARTIES For Claimant: Manouchehr Malek Corona Del Mar, California For Respondent

Award NASD In tne Matter ot tne Arbitration between: Names of the Claimants Case Number: 01-02403 Approach, Inc. Quinn Technologies, LTD Names of the Respondents Hearing Site: Boca Raton, Florida Luigi Mazza Morgan Stanley Dean Witter, Inc. REPRESENTATION OF PARTIES For Approach, Inc. ("Approach") and Quinn Technologies, LTD ("Quinn"), hereinafter referred to as "Claimants": Curtis Carlson, Esq., Payton & Carlson, P.A., Miami, Florida. F

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Edward Alt (Claimant) vs. 1717 Capital Management (Respondent) Case Number: 06-03943 Hearing Site: New York, New York Nature of the Dispute: Associated Persons vs. Member. REPRESENTATION OF PARTIES Claimants Edward Alt hereinafter referred to as "Claimant": Jonathan P. Arfa, Esq., Jonathan P. Arfa, P.C., White Plains, NY. Respondents 1717 Capital Management hereinafter referred

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 06-02109 Daniel T. King, (Claimant) vs. John MacColl and Morgan Stanley, DW, Inc., (Respondents) ATTORNEYS: For Claimant appeared Alice L. Stewart, Esq. of The Duquesne University Law School, Pittsburgh, PA. For Respondents appeared in-house counsel, Andrew Lipton, Esq., Purchase, NY. NATURE OF DISPUTE: Customer v. Member and Associated Person DATE FILED: April 25, 2006 CASE SUMMARY

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 06-02068 Jeffrey A. Swede and Jeanne O. Swede, (Claimants) vs. Suzanne Sellars and Citigroup Global Markets, Inc., (Respondents) ATTORNEYS: " Claimants appeared pro se, Newport Beach. CA. For Respondents appeared Ashley Young Adams, Esq., of the firm Keesal, Young & Logan, Long Beach, CA. NATURE OF DISPUTE: Customer v. Member and Associated Person DATE FILED: April 24, 2006 CASE SUM