Award NASD Dispute Resolution In the Matter of the Arbitration Between: Philippe Rey (Claimant) v. Salomon Smith Barney, Inc., n/k/a Citigroup Global Markets, Inc. (Respondent) and Olivier Frichou (Claimant) v. Salomon Smith Barney, Inc., n/k/a Citigroup Global Markets, Inc. (Respondent) and Kamal Salim Tayara (Claimant) v. Salomon Smith Barney, Inc., n/k/a Citigroup Global Markets, Inc. (Respondent) Case Number: 04-06844 Hearing Site: New Y

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Paul Rendina and 3003 GP Inc. (Claimants) v. Ladenburg, Thalmann & Co., Inc., Barry Cohn, and Sue Herschbach (Respondents) Case Number: 03-04753 Hearing Site: Cleveland, Ohio Nature of the Dispute: Customers vs. Member and Associated Persons REPRESENTATION OF PARTIES Claimants Paul Rendina ("Rendina") and 3003 GP Inc., ("GP"), hereinafter collectively referred to as "Claimants"

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Joseph E. Manos, Claimant v. Wachovia Securities, LLC, Terry L. Chase, Damon Daniels, and Christine A. Feldpausch, Respondents Wachovia Securities, LLC, Counter-Claimant v. Joseph E. Manos, Counter-Respondent Case Number: 03-04433 Hearing Site: Las Vegas, Nevada Nature of the Dispute: Associated Person v. Member, Associated Persons, and Unassociated Person Member v. Associated P

AWARD NASD Dispute Resolution Frederick Westerfield individually and on behalf of his IRA vs. Wachovia Securities, Inc. n/k/a Wachovia Securities, LLC. and Milliet K. Lanham Arbitration Number: 03-02046 Hearing Location: Baltimore, Maryland Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant, Frederick Westerfield, individually and on behalf of his IRA ("Claimant"), was represented by Ford C. Ladd, Esq.,

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Charles J. Mailman, Individually and as former Trustee of the Chasma Scientific, Inc. Profit Sharing Plan and Trust and Chasma Scientific, Inc. (Claimants) vs. Legg Mason Wood Walker, Inc. and A.C. Barnes McNevin, III (Respondents) Case Number: 03-1130 Hearing Site: Boston. Massachusetts REPRESENTATION OF PARTIES Claimants Charles J. Mailman, Individually ("Mailman") and

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Robert E. Olson Names of the Respondents Southern Financial Group, Inc. Clelland David Collins, Jr. Richard McNair Wooten C. Dennis McKitrick Gerald Hunter Case Number: 02-00880 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Robert E. Olson ("Olson"), h

NASD DISPUTE RESOLUTION STIPULATED AWARD NASD DISPUTE RESOLUTION CASE: 06-02699 Jill Eileen Clark, (Claimant) vs. Wunderlich Securities, Inc., (Respondent) ATTORNEYS: Claimant appeared pro se, New York, NY. For Respondent appeared in-house counsel Tracey Wiswall, Memphis, TN. NATURE OF DISPUTE: Associated Person vs. Member DATE FILED: June 1, 2006 CASE SUMMARY: Claimant requested an Order expunging certain language from the Form U-5 and Registra

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 06-02648 Yu-Jih Liu, (Claimant) vs. E'Trade Securities LLC, (Respondent) ATTORNEYS: ~""~~ Claimant appeared pro se, Ledgewood, NJ. For Respondent appeared in-house counsel John Bersin, Esq., Rancho Cordova, CA. NATURE OF DISPUTE: Customer vs. Member DATE FILED; May 27, 2006 CASE SUMMARY: Claimant alleged that Respondent negligently handled her account by failing to notify her of warrant

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Equity National Capital, L.L.C., (Claimant) vs. Joseph Anthony Sanchez, (Respondent) Case Number: 01-02389 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Equity National Capital, L.L.C., hereinafter referred to as "Claimant": Gordon N. Gemma, Esq., Fox & Gemma, L.L.C., Colts Neck, NJ. Respondent, Joseph Anthony Sanchez, hereinafter referred to as "Respond

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 06-02110 Fred and Elena Yoshida, Trustees of the Yosnida Family Trust, (Claimants) vs. Edward D. Jones & Co., George Dustin Buck and Sherry Lynn Wilson-Ermeling, (Respondents) ATTORNEYS: Claimants appeared pro $e, Rancho Cordova, CA. For Respondents appeared David J. Simmons, Esq., of the firm Greensfelder, Hemker & Gale, P.C., St. Louis, MO. NATURE OF DISPUTE: Customers v. Member and A