Award NASD Dispute Resolution In the Matter of the Arbitration Between: Citigroup Global Markets Inc. file/a Salomon Smith Barney Inc., Claimant v. Anssy A. Okoebor, Respondent Case Number: 05-01676 Hearing Site: Los Angeles, California Nature of the Dispute: Member v. Associated Person REPRESENTATION OF PARTIES For Claimant: Brian Free, Esq. Hillis Clark Martin & Peterson, P.S. Seattle, Washington For Respondent: Anssy A. Okoebor In Pro

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 05-01670 Mary F. C. Campbell, Individually and as Trustee for the Mary F. C. Campbell Trust and as Beneficiary of the Mary F. C. Campbell Charitable Remainder Unitrust Name of the Respondent Hearing Site: Boca Raton, Florida Merrill Lynch, Pierce, Fenner and Smith, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Barbara Carpe (Claimant) vs. Jerome Rubin, Matthew Halpert a/k/a Jeffrey Halpert and Alan Halpert (Respondents) Case Number: 01-00520 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant Barbara Carpe hereinafter referred to as "Claimant": Dan Druz, Esq., Manasquan, NJ. Respondent Jerome Rubin ("Rubin") hereinafter referred to as "Rubin": Anthony Paduano, Esq.

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 00-00619 Chester J. Derek Intervivos Trust, claimant vs. Legg Mason Wood Walker, Inc., respondent. ATTORNEYS: Claimant appeared through its Trustee, Chester J. Derek, Saginaw, ML For Respondent appeared in-house counsel, Sheila Mosmiller Vidmar, Esq., Baltimore, MD. DATE FILED: February 11, 2000 CASE SUMMARY: Claimant alleged that respondent recommended and purchased unsuitable stock

Award NASD Dispute Resolution In the Matter of the Arbitration Between: James O'Leary (Claimant) v. Wachovia Securities, LLC (Respondent) Case Number: 05-01654 Hearing Site: Newark, New Jersey Nature of the Dispute: Associated Person vs. Member REPRESENTATION OF PARTIES Claimant James O'Leary ("O'Leary") hereinafter referred to as "Claimant": Dan A. Druz, Esq., Manasquan, NJ. Respondent Wachovia Securities, LLC ("Wachovia") hereinafter referred to a

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-01652 William F. Gray, (Claimant) vs. A.G. Edwards & Sons, Inc., (Respondent) ATTORNEYS: For Claimant appeared Debra Brewer Hayes, Esq., of the firm Woska & Hayes, LLP, Kingwood, TX. For Respondent appeared in-house counsel Denise J. Capriglione, Esq., St. Louis, MO. NATURE OF DISPUTE: Customer vs. Member DATE FILED: March 24, 2005 CASE SUMMARY: Claimant alleged that Respondent breac

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Helen L. Rhodes and Franklin F. Rhodes, Claimants v. PaineWebber, Inc. n/k/a UBS Financial Services Inc., Respondent Case Number: 05-01640 Hearing Site: Los Angeles, California Nature of the Dispute: Customers v. Member REPRESENTATION OF PARTIES For Claimants: Charles C. Hunter, Esq. Woska & Hayes, LLP Kingwood, Texas For Respondent: Kathy Adams, Esq. UBS Financial S

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant David E. Roether and Case Number: 05-01626 Hearing Site: Troy, Michigan Respondent Robert W. Baird & Co.. Inc. NATURE OF DISPUTE Customer v. Member REPRESENTATION OF PARTIES David E. Roether ("Claimant") was represented by Ralph R. Safford, Esq., Safford & Baker, Bloomfield Hills, Michigan. Robert W. Baird & Co., Inc. ("Respondent") was represented by

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-01619 William W. and Barbara Berryhill, (Claimants) vs. Todd C. Bauman, Natalie A. Carter, Stephen Martin, Carnden Securities, Inc. and Patrick Anthony, (Respondents) ATTORNEYS: Claimants appeared pro se, Henderson, NV. For Respondents Camden Securities, Inc. and Patrick Anthony appeared Patrick Anthony, Los Angeles, CA. Respondent Todd C. Bauman appeared pro se, Las Vegas, NV. Respo

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the Claimant Carol Belisle Names of the Respondent Wachovia Securities, LLC Case Number 05-01616 Hearing Site: Columbia, South Carolina Nature of the Dispute: Customer vs. Member. RF.PRF.SKNTATTON OF PARTTFS Claimant, Carol Belisle, hereinafter referred to as "Claimant", was represented by W. Brantley Harvey, Jr., Esq., Harvey & Battey, P.A., Beaufort, South