AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Mark D. Faulds vs. 05-03454 Chicago, Illinois Names of Respondents Willis Securities, Inc., Willis North America, Inc., Willis Americas Administration, Inc., and Willis Of Illinois, Inc. NATURE OF THE DISPUTE Associated Person vs. Member and Non-Members. REPRESENTATION OF PARTIES Mark D. Faulds ("Claimant") was represented by John P. Morr

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Grace Purnia, Claimant v. Citigroup Global Markets Inc. f/k/a Salomon Smith Barney Inc. and Nat DiCarlo, Respondents Case Number: 05-03194 Hearing Site: Los Angeles. California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Brett A. Alcala, Esq. Alcala Law Firm San Mateo, California For Respondents Citigroup Global

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Barbara Anderson Little, IRA (Claimant) vs. Michael Bell and Morgan Stanley Dean Witter, Inc. (Respondents) Case Number: 05-03145 Hearing Site: Buffalo, New York Nature of the Dispute: Customer vs. Associated Person and Member REPRESENTATION OF PARTIES Claimant Barbara Anderson Little, IRA hereinafter referred to as "Claimant": David Liebrader, Esq., The Law Office of David Lieb

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 05-02855 Paul T. Chappie Name of the Respondent Hearing Site: Birmingham, Alabama Morgan Stanley DW, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Paul T. Chappie, hereinafter referred to as "Claimant": Milton H. Fried, Jr., Esq., Woska & Hayes, LLP, Kingswood, Texas. For Morgan Stanley DW, Inc., hereinaf

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Joseph and Brenda Williams and 05-02506 Kansas City, Missouri Names ot Respondents American Century Investment Services, Inc., Oppenheimer & Co. Inc. and Bradley Dean See NATURE OF DISPUTE Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Joseph and Brenda Williams ("Claimants") were represented by Barry D. Estell, Esq.,

Award NASD Dispute Resolution COPY In the Matter of the Arbitration Between: William Feinstein, Claimant v. Merrill Lynch, Pierce, Fenner & Smith, Incorporated, Respondent Case Number: 05-02377 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member REPRESENTATION OF PARTIES For Claimant: William Feinstein, Esq. Law Offices of William Feinstein Newbury Park, California For Respondent: Robert B. Ericson, Esq. B

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 05-02292 Dolores Theresa Hanna TTEE U/A DTD 8/30/2002 by Frank Charles Hanna FL INT TAX TRUST PLEDGED COLLATERAL ACCT - MLL Frank Charles Hanna TTEE U/A DTD 5/18/1995 by Frank Charles Hanna Revocable Trust Dolores Theresa Hanna TTEE U/A DTD 5/18/1995 by Dolores Theresa Hanna Revocable Trust Dolores Theresa Hanna TTEE U/A DTD 5/

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Joseph Toboni, Mary Toboni, and JT Builders, Claimants v. Milestone Financial Services, Inc. and Robert Anthony Cassino, Respondents Milestone Financial Services, Inc. and Robert Anthony Cassino, Counter-Claimants v. Joseph Toboni, Mary Toboni, and JT Builders, Counter-Respondents Case Number: 04-07926 Hearing Site: San Francisco, California Nature of the Dispute: Customers v. M

Award NASD Dispute Resolution In the Matter of the Arbitration Between: John A. Fenwick (Claimant) vs. Merrill Lynch, Pierce, Fenner & Smith, Inc., James D. Harris, and Robert D. Travis (Respondents) Case Number: 04-07582 Hearing Site: East Charleston, West Virginia Nature of the Dispute: Customer vs. Member and Associated Persons REPRESENTATION OF PARTIES Claimant John A. Fenwick hereinafter referred to as "Claimant": Robert A. Campbell, Esq., Farm

Stipulated Award NASD In the Matter of the Arbitration Between: John Battaglia, Claimant v. PaineWebber, Inc., Isadore Friedman and Teresa Mangines, Respondents Case Number: 01-02394 Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For John Battaglia, hereinafter referred to as "Claimant": Darren C. Blum, Esq., Law Offices of Darren C. Blum, Plantation, FL. For Paine Webber, Inc. ("PW"), Isadore Friedman ("Friedman") and Teresa Mangines