AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants James Long and Delores Long and Case Number: 05-02462 Hearing Site: Southfield, Michigan Respondents American Express Financial Advisors, Inc., n/k/a Ameriprise Financial Services, Inc., IDS Life Insurance Company, Thomas E. Smith. Jr.. and Amy Taylor Smith NATURE OF DISPUTE Customers v. Members and Associated Persons REPRESENTATION OF PARTIES Ja

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-08185 Dane Fulmer Name of the Respondent Hearing Site: Little Rock, Arkansas Sterne, Agee & Leach, Inc. Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES For Dane Fulmer, hereinafter referred to as "Claimant": Kenneth R. Shemin, Esq., Shemin & Hendren, PLLC, Fayetteville, AR. For Sterne, Agee &

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Linda Harcharic, Jason Harcharic, and Justin Harcharic, Claimants v. Multi-Financial Securities Corporation, Sanders Morris Harris Inc., and Ruth E. Sully, Respondents Case Number: 05-04930 Hearing Site: Los Angeles, California Nature of the Dispute: Customers v. Members and Associated Person REPRESENTATION OF PARTIES For Claimants: Richard Bryson, Esq. Richard Bryson, APC L

Award NASD Dispute Resolution In the Matter of the Arbitration Between; Alfonso A. Marano and Marcia A. Marano (Claimants) vs. Ed Wilson and UBS Financial Services, Inc. (Respondents) Case Number: 05-03093 Hearing Site: Cleveland, Ohio Nature of the Dispute: Customer vs. Associated Person and Member. REPRESENTATION OF PARTIES Claimants Alfonso A. Marano ("A. Marano") and Marcia A. Marano ("M. Marano") hereinafter collectively referred to as "Claiman

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Kenneth E. Thompson, Kenneth E, Thompson as Trustee of the Kenneth E. Thompson Defined Benefit Pension Plan and Trust, and Donna Thompson, Claimants v. Bane of America Investment Services, Inc. and Nick W. Campbell, Respondents Case Number: 04-01080 Hearing Site: Los Angeles, California Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PAR

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Lawrence C. Mahoney, Jr. and Carole A. Mahoney JTWROS Names of the Respondents Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. Jack B. Grubman Case Number: 04-01025 Hearing Site: Orlando, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Lawrence C. Mahoney, Jr. and Car

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Michael D. Sullivan and Case Number: 05-01841 Hearing Site: Troy, Michigan Respondents Prudential Equity Group, Inc., f/k/a Prudential Securities, Inc., and Gregory R. Anderson NATURE OF DISPUTE Customer v. Member and Associated Person REPRESENTATION OF PARTIES Michael D. Sullivan ("Claimant") was represented by Anthony V. Trogan, Esq., Law Offices

Award NASD In the Matter of the Arbitration Between: Name of the Claimant Case Number: 01-02351 Richard H. Justice, Jr. Name of the Respondents Hearing Site: Chicago, Illinois Edward D. Jones & Co. and Bradley Barrett REPRESENTATION OF PARTIES Claimant, Richard H. Justice, Jr. ("Justice"): James Eccleston, Esq. and Ronald Amato, Esq. of the firm Shaheen, Novolesky, Staat & Filipowski located in Chicago, Illinois Respondents, Edward D. Jones & Co

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Apparel LTD, LLC, Claimant v. Citigroup Global Markets, Inc., Respondent Case Number: 05-05107 Hearing Site: Los Angeles. California Nature of the Dispute: Customer v. Member REPRESENTATION OF PARTIES For Claimant: Steven L. Miller, Esq. Law Offices of Steven L. Miller Encino, California For Respondent: Stacey M. Garrett, Esq. Keesal, Young & Logan Long Beach, Califo

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Bernice A. Cohen (Claimant) vs. Steven Auerfeld, Oppenheimer & Co., Inc. and CIBC World Markets Corp. (Respondents) Case Number: 05-01471 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Associated Person and Members REPRESENTATION OF PARTIES Claimant Bernice A. Cohen hereinafter referred to as "Claimant": Stuart S. Schachter, Esq. .New York, NY. Responde