NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Robert B. Lucas Claimant vs. Shearson Lehman Hutton, Inc. Respondents OATH AND AWARD OF ARBITRATOR 90-01167 Having been selected as an arbitrator to consider and determine the matter in controversy between the above-captioned parties, I solemnly swear or affirm that: I am not an employer of, employed by or related by blood or marriage to any o

Arbitration National Association of Securities Dealers, Inc. 425 California St., Rm. 1400 San Francisco, CA 94104 (415) 781-3343 FAX: (415) 362-9946 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant/s) Hagop Soultanian 90-00505 Name of Respondent^ liu Green SIMffiRY OF ISSUES This case was filed with the National Association of Securities Dealers, Inc.

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Reuben Bendavid Claimant(s) vs. R.H. Damon & Co., Inc. Respondent(s) NOTICE OF ARBITRATION AWARD 90-00501 CASE SUMMARY Claimant(s) Reuben Bendavid alleged that Respondent(s) R.H. Damon & Co., Inc. committed unauthorized transactions with respect to Claimant's securities. Respondent denies Claimant's allegations. RELIEF REQUESTED Claimant(s

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney and Names of Respondents Smith Hayes Financial Services Corp., and Steven R. Sorensen Case Number: 06-01544 Hearing Site: Omaha, Nebraska NATURE OF CASE Member Firm vs. Member Firm and Associated Person REPRESENTATION OF PARTIES Citigroup Global Markets, Inc. f/k/a Salomo

Award NASD Dispute Resolution In the Matter of the Arbitration Between: flflimant ' • . Case_NumhcC 06-01498 Stifel, Nicolaus & Co., be, Names f fat* Robert W. Baird & Co., Inc. BryceW.Rowe Site* Richmond, Virginia Nature of the Dispute: Member vs. Member and Associated Person- ' OtT PARITIES Stifel, Nicolaus & Co., Inc. ("Stifel"), hereinafter referred to as "ClainiiiBr, was represented by Jeffrey J. Kalinowski, Esq., Blackwell Sanders

AWARD NASD DISPUTE RESOLUTION In the Matter of the Arbitration Between; Dr. Paul Rankin vs. Brundyn Securities, Inc. Case Number 06-00996 SITUS: Pittsburgh, Pennsylvania NATURE OF PISPUTE: Customer v. Member. REPRESENTATION OF PARTIES Claimant Dr. Paul Rankin, hereinafter referred to as "Claimant", was represented by Peter A. McClenahan, Esq., Streib & McClenahan, Attorneys at Law. Pittsburgh, Pennsylvania. Respondent, Brundyn Securites, Inc

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Farnum Alston, individually and as trustee of the Farnum Alston IRA Combination Account, the Resources Company Defined Benefit Plan U/A 01/31/96 FBO Farnum Alston, the Resources Foundation, and the Friends of Langley Porter Institute - Edwin F. Alston Memorial Fund, Claimants v. Morgan Stanley Dean Witter Online, Inc. (formerly known as Discovery Brokerage Direct, Inc., and now known as

Award NASD Dispute Resolution In the Matter of the Arbitration Between: of thf» riaitnanfg Case Number 06-00842 IFMG Securities, Inc. Independent Financial Marketing Group, Inc. IPS Agencies, Inc. nf tV>p PespnnHpntg Hearing Site* Philadelphia, Pennsylvania Countrywide Investment Services, Inc. Christopher Urso Nature of the Dispute: Member and Non-Members vs. Member and Associated Person. KFPKFSFNT ATTON OF PAKTTFS Claimants, IFMG Secur

AWARD NASD DISPUTE RESOLUTION In the Matter of the Arbitration Between: Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. (Claimant) vs. Robert A. Noble, (Respondent) Case Number: 06-00703 SITUS: Atlanta, Georgia. NATURE OF DISPUTE: Member vs. Associated Person. REPRESENTATION OF PARTIES: Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc., hereinafter referred to as "Claimant": Gregory R. Crochet, Esq. and Joyce M. Moc

' NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 06-00623 Ruth Solomon, (Claimant) vs. Richard Shelter, (Respondent) ATTORNEYS: Claimant appeared pro se, Naples, FL For Respondent appeared Wachovia Securities' in-house counsel, Ryan P. Smith, Richmond, VA. NATURE OF DISPUTE: Customer vs. Associated Person DATE FILED: February 8, 2006 . __£ CASE SUMMARY: Claimant alleged that Respondent did not follow instructions to exec