Award NASD Dispute Resolution In the Matter of the Arbitration Between: Mike C. Kim, Claimant v. Ameritrade, Inc., Respondent Case Number: 05-04626 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member REPRESENTATION OF PARTIES For Claimant: Marc I. Zussman, Esq. Law Offices of Marc I. Zussman Los Angeles, California For Respondent: James J. Vihstadt, Esq. Ameritrade, Inc. Bellevue, Nebraska CASE INFORMATION

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Alex J. Galanides vs. First Citizens Investor Services, Inc. Case Number: 05-03083 - Hearing Site: Richmond, VA Nature of the Dispute: Associated Person v. Member. REPRESENTATION OF PARTIES Claimant, Alex J. Galanides, hereinafter referred to as "Claimant", was represented by Stephanie P. Karn, Esq., McGui re Woods, LLP, Richmond, Virginia. Respondent, First Citizens

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Larry L Jensen v. 05-01238 Minneapolis, Minnesota Respondent Woodbury Financial Services, Inc. NATURE OF DISPUTE Customer v. Member Firm REPRESENTATION OF PARTIES Larry L. Jensen ("Claimant") was represented by Christopher Claassen, Esq., and Richard A. Lewins, Esq., of Burg Simpson Eldredge & Jardine, P.C., Dallas, Texas. Woodbury Financial Services,

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number 03-09112 Charlie Lee Kennedy Names of the Respondents Hearing Site: Charlotte, North Carolina Morgan Stanley DW, Inc. Michael Robinson Nature of the Dispute: Customer vs. Member and Associated Person. REPRFSFNTATION OF PARTIES Claimant Charlie Lee Kennedy, hereinafter referred to as "Claimant", was represented by Robert Dyer, E

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names nf thft Claimants David A. Wecker Constance J. Wecker Names nf the Respondents Deutsche Bank Securities, Inc. William W. Sutton, H rase Number- 03-08432 aring Site! Charlotte, North Carolina Nature of the Dispute: Customers vs. Member and Associated Person. RF.PRP.SRNTATTON OF PARTTF.S Claimants David A. Wecker and Constance J. Wecker, hereinafte

Award NASD Dispute Resolution In the Matter of the Arbitration Between: David Zatt and Ilene Zatt (Claimants) v. Salomon Smith Barney, Inc. n/k/a Citigroup Global Markets, Inc., Scott Zelniker, John Martin, Robert S. Matthews, and Mary Santoro (Respondents) Case Number: 01-02259 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimants David Zatt and Ilene Zatt ("The Zatt

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Mark Family Partnership dtd. 6/6/94 (Claimant) v. Salomon Smith Barney, Inc. n/k/a Citigroup Global Markets, Inc., William F. Dodge, Howard Guggenheim and Paul Jay Abrams (Respondents) Case Number: 03-08097 Hearing Site: New York, New York Nature of the Dispute: Customer v. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant Mark Family Partnership dtd.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-03347 Switzer and Sons Family Partnership, L.P. (Consolidated with 03-03361 Switzer Brothers Charitable Foundation and 03-03362) Robert Brent Switzer Charitable Remainder Unitrust Dated February 27, 1997 Robert B. Switzer Names of the Respondents Hearing Site: New Orleans, LA Deutsche Bank Securities, Inc. DB Alex. Brown DBAIex.

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Chase Investment Services Corp. (Claimant) vs. Philip Rutigliano and HSBC Securities (USA), Inc. (Respondents) Case Number: 06-02588 Hearing Site: New York, New york Nature of the Dispute: Member vs. Associated Person and Member REPRESENTATION OF PARTIES Claimant Chase Investment Services Corp., hereinafter referred to as "Claimant": Thomas Cahill, Esq., Satterlee Ste

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 06-01070 Lori Marie Arrowsmrth, (Claimant) vs. American Funds Distributors, Inc., (Respondent) ATTORNEYS: Claimant appeared pro se, Pendleton, IN. For Respondent appeared Dana D. Howells, Esq., of the firm Capital Group Companies, Los Angeles, CA. NATURE OF DISPUTE: Associated Person vs. Member DATE FILED: March 1, 2006 CASE SUMMARY: Claimant alleged that she was wrongfully terminated f