Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Case Number: 04-04432 John L. Hannon Names of Respondents Hearing Site: News Orleans, Louisiana Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. JackB. Grubman Michael E. Dowell Robert D. Webb Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES * For John L. Hannon, hereinafter referred t

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Michael and Geraldine Clemente, Kristen Clemente, and Matthew Clemente (Claimants) vs. Merrill Lynch, Pierce, Fenner & Smith, Inc., Kevin Nohilly, and Gustav Fingado, IV (Respondents) Case Number: 04-00576 Hearing Site: Newark, New Jersey Nature of the Dispute: Customers vs. Member and Associated Persons REPRESENTATION OF PARTIES Claimants Michael and Geraldine Clemente, Joint A

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Richard Vehring and The Vivian Vehring Decedent Trust, Claimants v. IDS Life Insurance Company, American Express Financial Corporation n/k/a Ameriprise Financial, Inc., American Express Financial Advisors, Inc. n/k/a Ameriprise Financial Services, Inc. and Jason Gerald Knight, Respondents Case Number: 05-04997 Hearing Site: Phoenix, Arizona Nature of the Dispute: Customers v. Member

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 05-04208 William S. Schroeder Names of the Respondents Hearing Site: Boca Raton, Florida Legg Mason Wood Walker, Inc. Jeffrey Willis Durkee Nature of the Dispute: Associated Person v. Member and Associated Person. REPRESENTATION OF PARTIES For William S. Schroeder, hereinafter referred to as "Claimant": Susan H. Stern, Esq., Rothstein, R

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant/Counter-Respondent Case Number. 05-03278 J. Stephanie Venza, individually, and As Executrix of The Estate of John L. Venza Name of the Respondents/Counter-Claimant Hearing Site: Dallas, Texas A.G. Edwards & Sons, Inc., and Perry J. Lyons NATURE OF THE DISPUTE Public Customer v. Member Firm and Associated Person Member Firm vs. Public Customer REP

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant H&R Block Financial Advisors, Inc. v. 05-02600 Minneapolis, Minnesota Respondent Jason Bo Beckman NATURE OF DISPUTE Member Firm v. Associated Person REPRESENTATION OF PARTIES H&R Block Financial Advisors, Inc. ("Claimant") was represented by Kathleen A. Dedenbach, Esq., of H&R Block Financial Advisors, Inc., until March 22,2006, afterwhich, Claimant w

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant David D. Barrett, individually and on behalf of his individual retirement accounts v. 04-07074 Denver, Colorado Respondents Investment Management Consultants, LTD Charles Schwab & Company, Inc., and Richard L. Behr, Jr. and Cross-Claimant Charles Schwab & Company, Inc. v. Cross-Respondents Investment Management Consultants, LTD and Ric

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Charles Cuozzo, Jr. (Claimant) vs. Prudential Investment Management Services, LLC and Prudential Insurance Company of America (Respondents) Case Number: 05-04620 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Members. REPRESENTATION OF PARTIES Claimant Charles Cuozzo, Jr. hereinafter referred to as "Claimant": Kevin P. Conway, Esq., Conway & Conway

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 05-03104 Steven Kent Dear, Sr. Names of the Respondents Hearing Site: Jackson, Mississippi Mass Mutual Life Insurance Company Mass Mutual Life Investors Services, Inc. Steven Collins Nature of the Dispute: Associated Person v. Member, Non-Member and Associated Person. REPRESENTATION OF PARTIES For Steven Kent Dear, Sr., hereinafter r

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 05-01878 Kelley Rand The Kelley Rand IRA The Kelley H. Rand Roth IRA and Pink Peony, Inc. Names of the Respondents Hearing Site: New Orleans, Louisiana Chicago Investment Group, L.L.C. George E. Reilly and Michael A. Kalfa Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Kelley