AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Thomas Dodd and Case Number: 05-01931 Hearing Site; Chicago, Illinois Respondent Citigroup Global Markets, Inc., f/k/a Salomon Smith Barney, Inc. NATURE OF DISPUTE Customer v. Member REPRESENTATION OF PARTIES Thomas Dodd ("Claimant") was represented by James J. Eccleston, Esq. and Ronald M. Amato, Esq., Shaheen, Novoselsky, Staat, Filipowski & Ecclest

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Elizabeth Johnson, Individually, and as Trustee for The Casaburi Family Trust and as POA for Betty Casaburi (Claimants) v. Summit Equities, Inc. and Peter O'Neill (Respondents) Case Number: 04-04272 Hearing Site: New York, New York Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES Claimants Elizabeth Johnson, Individually ("E.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 06-00067 Russell and Sandra Aucoin Names of the Respondents Hearing Site: New Orleans, Louisiana Edward Jones & Co. Peter Gauthier Nature of the Dispute: Customer v. Member and Associated Person. REPRESENTATION OF PARTIES Russell and Sandra Aucoin appeared Pro Se. Edward Jones & Co. ("Jones") and Peter Gauthier ("Gauthier"), hereinafte

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-05399 Greentree Brokerage Services, Inc., (Claimant) vs. Robert Chaykowsky, (Respondent) ATTORNEYS: For Claimant appeared Harold G. Ognelodh, Esq., of the firm Ognelodh Partners, LLC, Brooklyn, NY. Respondent appeared pro se, Hopewell, NJ. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: October 17, 2005 CASE SUMMARY: Claimant alleged that Respondent breached a contract by

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Michael Broom, Kevin Broom, and Andrea Broon\ Claimants v. Morgan Stanley DW Inc. and Kimberly Anne Blindheim, Respondents Case Number: 05-05019 Hearing Site: Seattle, Washington Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES For Claimants Michael Broom, Kevin Broom, and Andrea Broom: For Respondents Morgan Stanley DW Inc. and

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Elizabeth A. Cash, The Cash Family Trust "A", and The Cash Family Trust "B", Claimants v. Morgan Stanley DW Inc., Donald Gregory Munro, and Natasha Alana Miller, Respondents Case Number: 05-03549 Hearing Site: San Diego, California Nature of the Dispute: Customers v. Member and Associated Persons REPRESENTATION OF PARTIES For Claimants: Karen L. Rogan, Esq. The Law Offices o

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Doris M. Lener as Trustee of The Doris M. Lener Living Trust and 04-03211 Phoenix, Arizona Name of Respondents Morgan Stanley DW Inc. Edward G. Dulin, Jr. Nature of the Dispute: Customer vs, Member and Associated Person. REPRESENTATION OF PARTIES Doris M. Lener as Trustee of The Doris M. Lener Living Trust ("Claimant") was represented by Mark D. C

* NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 06-01003 William Thomas Molloy, (Claimant) vs. Edward D. Jones & Co. and Terry R. Bowman (Respondents) ATTORNEYS: Claimant appeared pro se, Grass Valley, CA. For Respondents appeared Lizabeth M. Conran, Esq., of the firm Greensfelder, Hemker& Gale, P.C., St. Louis, MO. NATURE OF DISPUTE: Customer v. Member and Associated Person DATE FILED: February 25, 2006 CASE SUMMARY: Claim

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Mark E. Stevenson and Joanne Stevenson-Bake, Claimants v. E*Trade Group, Inc., Respondent Case Number: 00-00820 Hearing Site: San Diego, California REPRESENTATION OF PARTIES For Claimants: James C. Ashworth, Esq. The Law Offices of James C. Ashworth, Esq. San Diego, California For Respondent: Ekwan E. Rhow, Esq. Bird, Marella, Boxer & Wolpert Los Angeles, Calif

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants Case Number: 05-01930 Charles and Margaret Zanders Name of the Respondents Hearing Site: Chicago, Illinois Merrill Lynch, Pierce, Fenner & Smith, Inc.; Citigroup Global Markets, Inc.; and, Michael Ronald Sparks NATURE OF THE DISPUTE Public Customers vs. Member Firms and Associated Person REPRESENTATION OF PARTIES Claimants Charles and Margaret Z