Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Willa Connally Name of the Respondent Edward D. Jones & Co., L.P. NATURE OF THE DISPUTE Public Customer v. Member Firm REPRESENTATION OF PARTIES Claimant Willa Connally, hereinafter referred to as "Claimant": Richard A. Lewins, Esq., of the firm of Burg Simpson Eldredge Hersh Jardine P.C., located in Dallas, Texas. Respondent Edward D. Jones & Co

Award NASD Dispute Resolution In the Matter of the Arbitration Between: James R. Chamness, Claimant v. Edward D. Jones & Co., Respondent Case Number: 05-02005 Hearing Site: San Diego, California Nature of the Dispute: Customer v. Member REPRESENTATION OF PARTIES For Claimant: Sean M. Keane, Esq. Simmons Cooper LLC East Alton, Illinois For Respondent: David J. Simmons, Esq. Greensfelder, Hemker & Gale, P.C. St. Louis, Missouri CAS

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Joseph Muscat And Case Number: 02-04942 Hearing Site: Detroit, Michigan Names of Respondents Securities America, Inc., Linsco/Private Ledger Corp., Osman R. Minkara, Continental Capital Investment Services f/k/a Sky Investments, Capital Investment Group, LLC, Michael Hycki, and Derek A. Ross NATURE OF DISPUTE Customer v. Members, Te

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Kathi A. Sharpe and 00-00017 Phoenix, Arizona Name of Respondents Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney Inc. Thomas H. Seabron Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Kathi A. Sharpe ("Claimant") was originally represented by Michael Salcido, Esq., Phoenix, Arizona. Claimant w

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE; 06-01472 Fidelity Brokerage Services, LLC. (Claimant) vs, Anthony Pena, (Respondent) ATTORNEYS: For Claimant appeared Laurence K. Richmond, Esq., of the firm Laurence K. Richmond & Associates, P.C., Qutncy, MA. Respondent did not submit an Answer to the Statement of Claim. NATURE OF DISPUTE: Member v. Customer DATE FILED: March 20, 2006 CASE SUMMARY: Claimant alleged that Respondent fel

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Robert F. Phair (Claimant) vs. Salomon Smith Barney and Timothy V. Mulhern (Respondents) Case Number 03-08633 Consolidated with Susan T, Kalish (Claimant) vs. Salomon Smith Barney and Timothy V. Mulhem (Respondents) Case Number 04-00458 Hearing Site: New York, New York Nature of the Dispute: Case # 03-08633: Customer vs. Member and Associated Person Nature of the

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Kame of Claimants Chris Laden as Trustee of the VIP Plus Profit Sharing Plan vs. Name of Respondents Morgan Stanley Dean Witter Inc. and Philipp B. Weisskopf 03r00633 Chicago, Illinois Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES j Chris Laden as Trustee of the VIP Plus Profit Sharing Plan ("Claimant**)

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Aurum Capital Partners, L.P. (Claimant) v. Goldman, Sachs & Co., and Sofia Frankel (Respondents) Case Number: 02-06866 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant Aurum Capital Partners, L.P. hereinafter referred to as "Claimant": Dan Brecher, Esq., Law Offices of Dan Brecher, New

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Nancy Morelock, Claimant v. Delon Bradley and Wachovia Securities Inc. n/k/a Wachovia Securities, LLC, Respondents Case Number: 04-08139 Hearing Site: Las Vegas, Nevada Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Nancy Morelock ProSe Henderson, Nevada For Respondent Wachovia Securities, Inc. n/k/a Wachovia S

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE:01-02248 Charles Schwab & Co., Inc., claimant vs. Patricia E. Partlow and John Solena, respondents. ATTORNEYS: For Claimant appeared Edmund V. Saucedo, Case Manager, San Francisco, CA. Respondents did not submit a response to the Statement of Claim. DATE FILED: May 1, 2001 CASE SUMMARY: Claimant alleged that monies deposited into respondents' accounts were returned unpaid by their bank