Award NASD Dispute Resolution In the Matter of the Arbitration Between: H.C. Wainwright & Co., Inc., (Claimant) vs. Oppenheimer & Co., Inc., RichardB. Trull, Thomas Valeo, and Sidney N. Towle, Jr., (Respondents) Case Number: 01-02306 Hearing Site: Boston, Massachusetts REPRESENTATION OF PARTIES Claimant, H.C. Wainwright & Co., Inc., hereinafter referred to as "Claimant": Christopher P. Litterio, Esq., Ruberto, Israel & Weiner, P.C. (formerly Shapiro, Is

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants Case Number: 05-01826 Margie Osbome, individually and as Beneficiary of the Margie Osbome IRA and of the Margie Osborne IRRA; and, Marshall Williams, Individually and as Beneficiary of the Marshall Williams IRA 5 Name of the Respondent Hearing Site: Dallas, Texas Merrill Lynch, Pierce, Fenner & Smith Incorporated NATURE OF THE DISPUTE Pu

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 04-00396 Reed M. Pringle Robin K. Pringle Name of the Respondent Hearing Site: New Orleans, Louisiana Merrill Lynch, Pierce, Fenner & Smith Name of the Third Party Respondent David Vincent Liuzza Nature of the Dispute: Customer vs. Member vs. Associated Person. REPRESENTATION OF PARTIES For Reed M. Pringle and Robin K. Pringle, her

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Shari Notan, Claimant v. Phillip D. Hurner and Merrill Lynch, Pierce, Fenner & Smith Incorporated, Respondents Case Number: 02-01455 Hearing Site: San Francisco, California Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Richard A. Roth, Esq. The Roth Law Firm, PLLC New York, New York For Respondents: Blanca F. You

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Helen Ann Duffy, Claimant v. SunAmerica Securities, Inc., Respondent Case Number: 05-05901 Hearing Site: Phoenix, Arizona Nature of the Dispute: Customer v. Member REPRESENTATION OF PARTIES For Claimant: Mark J. Michaud, Esq. The Michaud Law Group, LLC Eagle, Idaho For Respondent: Jason C. Roberts Esq. Law Offices of Edgerton & Weaver Hermosa Beach, California

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Robert J. Souza, Claimant v. Morgan Stanley DW Inc. and Steven G. Elefante, Respondents Case Number: 05-03647 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Randy S. Cohn, Esq. SimmonsCooper, LLC East Alton, Illinois For Respondents: James J. Fontanilla, Esq. Morgan Stanley

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants Sara L.. Perrine, Individually, and as executrix of the Estate of Scott B. Perrine, Nancy Perrine, and Carolyn Perrine Name nf tVie Respondents Merrill Lynch Pierce Fenner & Smith Inc., Frederick J. Hoey, Michael J. Schreiner, Francis J. Hoey, and The Hoey Group Niimhpr- 01-02290 Hearing Site- Philadelphia, Pennsylvania RFPRFSFMTATTON OF PAR

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Corporacion Financiera Del Valle S.A. (Claimant) vs. Merrill Lynch, Pierce, Fenner & Smith, Inc. (Respondent) Case__Nu_mber: 04-07679 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant Corporacion Financiera Del Valle ("Claimant"): Robert Lack, Esq., Friedman Kaplan Seiler & Adelman, New York, NY. Respondent Merrill

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Audrey T. Austin (Claimant) v. Citigroup Global Markets, Inc., f/k/a Salomon Smith Barney, Inc., and Brian F. Hayes (Respondents) Case Number. 01-05521 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant Audrey T. Austin ("Claimant") hereinafter referred to as "Claimant": David S. Markum,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 05-05336 Herbert and Joan Gottlieb Name of Respondent Hearing Site: Baltimore, Maryland Legg Mason Wood Walker, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Herbert and Joan Gottlieb, hereinafter collectively referred to as "Claimants": Randy S. Conn, Esq., SimmonsCooper, LLC, East Alton, Illinois. For