NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-03380 Theodore J. Stephens, (Claimant) vs. Citigroup Global Markets, Inc., (Respondent) ATTORNEYS: Claimant appeared pro se, Gumming, IA. For Respondent appeared in-house counsel James S. Goddard, Esq., New York, NY. NATURE OF DISPUTE: Customer vs. Member DATE FILED: June 26, 2005 CASE SUMMARY: Claimant alleged that Respondent negligently handled his account. Claimant further alleged

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Burrell Allen and Helen Allen as Trustees of the Allen Living Trust, Claimant v. RBC Dain Rauscher Inc. and Robert L. Posner, Respondents Case Number: 05-03363 Hearing Site: Seattle, Washington Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Randy S. Cohn, Esq. Nicholas P. lavarone, Esq. Simmons Cooper LLC East Alto

Award NASD Dispute Resolution COPY In the Matter of the Arbitration Between: WM Financial Services, Inc., Claimant v. Aaron Thomas Leone, Michael Wayne Hobson, Heather Oliver Hofland, Techi Carreon Jacobs, Maria Selina Reyes and Wells Fargo Investments, LLC, Respondents Aaron Thomas Leone, Michael Wayne Hobson, Heather Oliver Hofland, Techi Carreon Jacobs, Maria Selina Reyes and Wells Fargo Investments, LLC, Counter-Claimants v. WM Financial Service

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 05-03336 Southwest Securities, Inc. Name of the Respondent Hearing Site: Dallas, Texas Edward Frederick Spori, IV NATURE OF THE DISPUTE Member Firm vs. Associated Person REPRESENTATION OF PARTIES Claimant Southwest Securities, Inc., hereinafter referred to as "Claimant": John E. Dees, Jr., Esq., located in Trinidad, Texas. Respondent

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Wells Fargo Investments, LLC and Name of Respondent Melinda Leigh Stavinoha Case Number: 05-03330 Hearing Site: Houston, Texas NATURE OF DISPUTE Member Firm v. Associated Person REPRESENTATION OF PARTIES Wells Fargo Investments, LLC ("Claimant" or "Wells Fargo") was represented by Ronald Kane, Esq. and Thomas Volz, Esq., Kane & Fischer, Ltd.,

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants Jerry Drake and Claudia Drake v. 05-03329 Denver, Colorado Respondent Dominion Investor Services, Inc. NATURE OF DISPUTE Customers v. Member Firm REPRESENTATION OF PARTIES Jerry Drake and Claudia Drake, hereinafter collectively referred to as ("Claimants 1 ') were represented by Richard A. Lewins, Esq., of Burg, Simpson, Eldredge, Hersh & Jardine

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 01-00589 First Union Securities, Incorporated, claimant vs. Jefferey M. Daniels, respondent. ATTORNEYS: For claimant appeared Renan I. Sugarman,in-house counsel, Chicago, IL. Respondent appeared Pro Se Medina, OH. DATE FILED: February 5, 2001. CASE SUMMARY: Claimant alleged that respondent failed to repay his outstanding overdraw deficit obligation. Claim Data Award Data Claim

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 00-00625 S. G. Cowen Securities Corporation, claimant vs. John M. Madigan and Margaret C. Madigan, respondents. ATTORNEYS: For Claimant, S. G. Cowen Securities Corporation, ("Claimant"), appeared David Hirschberg, Esq., of the firm, Wexler & Burkhart, P.C., Mitchel Field, NY. Respondents, John M. Madigan and Margaret C. Madigan (collectively "Respondents"), did not respond to the Stat

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 05-03321 Mark Lunden Name of the Respondent Hearing Site: Boca Raton, Florida Bonds Direct Securities n/k/a Jefferies & Company, Inc. Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Mark Lunden ("Lunden"), hereinafter referred to as "Claimant", appeared Pro Se. For Bonds Direct Securities n/k/a Jefferies &

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Russell W. Florence and Sally C. Florence (Claimants) vs. UBS Financial Services, Inc. f/k/a/ PaineWebber, Inc. and Rudolf A. Woykowski (Respondents) Case Number:05-03312 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimants Russell W. Florence ("R. Florence") and Sally C. Florence ("S. Florence") herein