Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Dina Moskowitz Names of the Respondents Summit Brokerage Services, Inc. Capital Growth Financial, Inc Michael Scheurich Case Number: 05-01934 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Dina Moskowitz, hereinafter referred to as "Claimant": Scott Silver, Esq

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Robert J. Burgess, James Burgess, Conway Worldwide Ltd., D-Ram, Dimension Memory, JADIJO, Inc., Claimants v. Tom H. Martindale, William A. King, Raina L. Prigger, E*Offering, IDC Solutions, LLC, First Union Securities, Inc., Respondents Case Number: 01-02308 Hearing Site: Los Angeles, California Nature of Dispute: Customers v. Member Firms and Associated Persons REPRESENTATION O

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Larry R. Johnson and Pamela H. Johnson Names of the Respondents Citigroup Global Markets, Inc. (f/k/a Salomon Smith Barney), Michael J. Grace David Hobby Jack B. Grubman Case Number: 05-01762 Hearing Site: Orlando, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Larry R. Johnso

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Arthur J. Harrison, Jr. v. Morgan Stanley Dean Witter, Ray Wilbur Powell and Gregory Ray Powell Case Number: 05-01416 Hearing Site: Atlanta, Georgia Nature of the Dispute; Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Arthur J. Harrison, Jr., hereinafter referred to as "Claimant": Pat Huddleston II, Esq., Huddleston & Nohr, Marietta, Georgia

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Diane Gernand v. Legacy Financial Services, Inc., and Joseph R. Karsner, IV rasa Niimher: 04-07345 Hearing Site: Baltimore, MD Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIFS Claimant, Diane Gernand, hereinafter referred to as "Claimant", was represented by William B. Young, Esq., Hooper & Weiss, LLC, Orlando, Florida. Respo

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Maria Lucila Beltran Tomas Voulgaridis Names of Respondents Wallstreet Electronica, Inc. Rafael Avila Carlos Noe Otalvaro Carlos Francisco Otalvaro UBS Financial Services, Inc. f/k/a UBS PaineWebber, Inc. Pedro Penzini Cecilia Gonzalez Case Number: 04-05014 Hearing Site: Boca Raton, Florida Nature of the Dispu

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Marcella Cornacchia Arango (Claimant) v. Washington Square Securities, Inc., Diddei & Diddel, LLC and Scott Diddei (Respondents) Case Number: 04-04647 Hearing Site: Hartford, Connecticut Nature of the Dispute: Customer vs. Member, Non-Member and Associated Person. REPRESENTATION OF PARTIES Claimant Marcella Cornacchia Arango hereinafter referred to as "Claimant": Michael

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Darleen Busse, individually and as for the Darleen Busse Living Trust and as beneficiary and trustee of the Charitable Remainder Trust and 04-03791 Phoenix, Arizona Name of Respondents RBC Dain Rauscher Inc. Larry Kay Wetterschneider Richard E. Mundinger Nature of the Dispute: Customer vs. Member and Associated Persons. REPRESENTATION OF PARTI

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Johanna P. Anderson IRA, Claimant v. The Retirement Group, Frank A. Cuenca, Timothy C. Sullivan, FSC Securities Corporation, a subsidiary of Financial Service Corporation, Financial Service Corporation, SEI Trust Company, a subsidiary of SEI Investments, SEI Investments Distribution Co., Pershing Division of Donaldson, Lufkin & Jenrette Securities Corporation, aka Donaldson,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Sylvia Dixon, Claimant v, Citigroup Global Markets, Inc., Respondent Case Number: 05-02569 Hearing Site: Portland, Oregon Nature of the Dispute: Customer v. Member REPRESENTATION OF PARTIES For Claimant: Marissa C. Lau, Esq. Hooper & Weiss, L.L.C. Jericho, New York For Respondent: Eric D. Lansverk, Esq. Hiilis Clark Martin & Peterson, P.S. Seattle, Washington