STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants Bruce Wilson and Charlene Wilson and Respondents Linsco Private Ledger Corp., and Steven P. Groulx Case Number: 04-04822 Hearing Site: Detroit, Michigan NATURE OF DISPUTE Customers v. Member and Associated Person REPRESENTATION OF PARTIES Bruce Wilson and Charlene Wilson ("Claimants") were represented by Anthony V. Trogan, Law Offices

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Roy and Delores Zermeno and Names of Respondents Edward D. Jones & Co. and Willie J. Howard Case Number: 05-03212 Hearing Site: Houston, Texas NATURE OF DISPUTE Customers v. Member Firm and Associated Person REPRESENTATION OF PARTIES Roy and Delores Zermeno ("Claimants") were represented by Dawn R. Meade, Esq., Spencer & Associates, P.C.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: UBS Financial Services, Inc. (Claimant) vs. David Gardner (Respondent) Case Number: 05-02063 Hearing Site: New York, New York Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant UBS Financial Services, Inc, hereinafter referred to as "Claimant 11 : Jeffrey Newman, Esq., Davidson & Grannum, LLP, Orangeburg, NY. Previously represented by

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Cesil B. and Patricia Ann Cantwell vs. Edward D. Jones & Co. and Linsco/Private Ledger Corp. Case Number: 05-01570 Hearing Site: Nashville, TN Nature of the Dispute: Customers v. Members. REPRESENTATIOM QF PARTIES Claimants, Cesil B. and Patricia Ann Cantwell, hereinafter collectively referred to as "Claimants", were represented by Scott L. Silver, Esq. and Randall C. Place,

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Floyd E. Austin and Case Number: 03-02884 Hearing Site: Nashville, Tennessee Respondents L.H. Ross & Company, Inc., Peter C. Dunne and Gary J. Redding NATURE OF DISPUTE Customer v. Terminated Member and Associated Persons REPRESENTATION OF PARTIES Floyd E. Austin ("Claimant") was represented by Michael S. Lattier, Esq., Hunter, Smith & l I P, Kingspor

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 06-00354 Bane of America Investment Services, Inc., (Claimant) vs. Michael A. Piranian, (Respondent) ATTORNEYS: For Claimant appeared Diane C. Fischer, Esq., of the firm Kane & Fischer, Ltd., Chicago, IL. Respondent did not submit an Answer to the Statement of Claim. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: January 23, 2006 CASE SUMMARY: Claimant alleged that Respo

NASD DISPUTE RESOLUTION MODIFIED AWARD NASD DISPUTE RESOLUTION CASE: 05-03978 Connie Cole, (Claimant) vs. Citigroup Global Markets, Inc. and Jack B. Grubman, (Respondents) ATTORNEYS: For Claimant appeared Robert R. Riley, Esq., of the firm Riley and Jackson, P.C., Birmingham, AL. For Respondents appeared Mark L. Parmelee, Esq., of the firm Greenberg Traurig, PA, New York, NY. NATURE OF DISPUTE: Customer v. Member and Associated Person DATE F

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Wayne Alofs, Virginia Alofs, and Virginia Aloffs Trust And 05-02165 Chicago, Illinois Name of Respondents Robert W.Baird &Co., Inc. Paul Kuiper Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Wayne Alofs, Virginia Alofs, and Virginia Aloffs Trust ("Claimants") were represented by Andrew Stoltmann, Esq.,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Edward D. Crary, Jr., Claimant v. Donald A. Itzen, Choice Investments, Inc., Vivian D. Jackson, James G. Kaighin, Michael J. Hundley and James G. Kaighin, Jr., Respondents Case Number: 05-02949 Hearing Site: Phoenix, Arizona Nature of the Dispute: Associated Person v. Member and Associated Persons REPRESENTATION OF PARTIES For Claimant: Kevin B. Harris, Esq. Kirkpatrick& Har

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Brian and Catherine Egan JTWROS, Catherine Egan IRA, Brian Egan, Brian Egan IRA, Catherine Egan as Custodian for Amanda Egan UTMA, Catherine Egan as Custodian for Andrew Egan UTMA, and Corporate Trade, Inc. (Claimants) vs. Brookstreet Securities Corp., John Elwin, Jason Woessner and Stanley C. Brooks (Respondents) Case Number: 05-2357 Hearing Site: New York, New York Nature of the D