AMENDED AWARD NASD DISPUTE RESOLUTION In the Matter of the Arbitration Between: Tom E. Wooten, Claimant vs. Piper Jaffray & Co. and Elise C. Tanner, Respondents Case Number: 05-01032 Situs: Dallas, Texas NATURE OF DISPUTE: Customer v. Member and Associated Person REPRESENTATION OF PARTIES: Tom E. Wooten, hereinafter referred to as "Claimant" was represented by Fredye Long Alford, Esq., located in Nashville, Arkansas. Respondent Piper Jaffray & Co. was r

AWARD NASD DISPUTE RESOLUTION In the Matter of the Arbitration Between:, Tom E. Wooten, Claimant vs. Piper Jaffray & Co. and Elise C. Tanner, Respondents Case Number: 05-01032 Situs: Dallas, Texas NATURE OF DISPUTE: Customer v. Member and Associated Person REPRESENTATION OF PARTIES: Tom E. Wooten, hereinafter referred to as "Claimant" was represented by Fredye Long Alford, Esq., located in Nashville, Arkansas. Respondent Piper Jaffray & Co. was represen

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Ibrahim Khan, Claimant v. Citigroup Global Markets Inc. file/a Salomon Smith Barney Inc. and John D. Bacich, Respondents Case Number: 05-01031 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Douglas A. Ames, Esq. Law office of Douglas A. Ames Huntington Beach, California

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Citigroup Global Markets, Inc., i7k/a Salomon Smith Barney, Inc., Claimant v. Jason A. Dominicak, Respondent Jason A. Dominicak, Counter-Claimant v. Citigroup Global Markets, Inc., ffk/a Salomon Smith Barney, Inc., Counter-Respondent Case Number: 05-01023 Hearing Site: San Diego, California Nature of the Disputes: Member v. Associated Person Associated Person v. Member

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Citigroup Global Markets Inc. (f/k/a Salomon Smith Barney Inc.), Claimant v. Jason K. Pearce, Respondent Case Number: 05-01020 Hearing Site: San Francisco, California Nature of the Dispute: Member v. Associated Person REPRESENTATION OF PARTIES For Claimant: Joseph A.G. Sakay, Esq. Hillis Clark Martin & Peterson, P.S. Seattle, Washington For Respondent: In Propria Per

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-01012 Elaine S. Brannan, TTEE of James Brannan, (Claimant) vs. Prim Securities Inc., Prim Advisors Inc., Anthony D. Delfre, Joseph A, Lombardo (Respondents) and Prim Advisors Inc. and Prim Securities Inc. (Third party Claimants/ Cross Claim Respondents) v. Michael C. Brady, (Third Party Respondent/Cross Claim Claimant) ATTORNEYS: Claimant appeared pro se, Fairview Park, OH. For Responden

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE:01-01793 Ameritrade, Inc., claimant vs. Paik K. Hong, respondent. ATTORNEYS: For Claimant appeared James J. Vihstadt, Esq., in-house counsel, Bellevue, NE. Respondent appeared Pro Se, Annandale, VA. DATE FILED: April 9, 2001 CASE SUMMARY: Claimant alleged that respondent failed to repay the debit balance on his individual margin account. Claim Data Award Data Claim: $8,804.37 A

Award NASD Dispute Resolution hi the Matter of the Arbitration Between: TvJ^mp nf thf* riaimfltitg r flff p >frmiV»gr 05-00977 Robin Richards and Kenneth Wright &e: Dallas, Texas Capital West Securities, Inc. NATTTPI?. n Public Customers v. Member Firm OF PAPTTF.S Claimants Robin Richards ("Richards") and Kenneth Wright ("Wright"), hereinafter collectively referred to as "Claimants": Richard Lewins, Esq. and Chris Claasse

Award NASD Dispute Resolution In the Matter of the Arbitration Between: t Karen Wanemaker (Claimant) vs. Advest, Inc. and Edward Carlsen, Sr. (Respondents) Case Number: 05-00967 Hearing Site: Buffalo, New York Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant Karen Wanemaker hereinafter referred to as "Claimant": Kevin A. Szanyi, Esq. and Michael P. McClaren, Esq., "Webster Szanyi, LLP, Buffalo, NY.

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Lilia G. Sims-Horn, Individually and as Trustee of the Lilia G. Sims-Horn Rev. Trust Agreement U/A/D 04-18-96 and Respondents Merrill Lynch Pierce Fenner & Smith, Inc., Kevin Thomas McCarthy, H&R Block Financial Advisors, Inc., and Christopher Lawrence Balcerowiak Case Number: 05-00957 Hearing Site: Southfield, Michigan NATURE OF DISPUTE Custo