NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 00-00613 Scot K. Wulbert Trust, claimant vs. Harris Investors Direct and Harris Bank Chicago, respondents. ATTORNEYS: Claimant appeared through its Trustee, Scot K. Wulbert, Pro Se, Harrington, IL. For Respondent Harris Investors Direct appeared Randall M. Lending, Esq., of the firm Vedder, Price, Kaufman & Kammholz, Chicago, IL. DATE FILED: February 11, 2000 CASE SUMMARY: Claiman

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Thomas D. McElgunn, Special Fiduciary for the Estate of Alante Denzel King, a Protected Person Minor, in Place of the Suspended Conservator Angela DeMay Williams a/k/a Angela Williams and Respondents UBS Financial Services, Inc. f/k/a UBS PaineWebber, Inc., and Ramzi Boyd Case Number: 04-08555 Hearing Site: Detroit, Michigan NATURE OF DISPUTE

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants David W. Dorsett, Michelle L. Dorsett, James E. Dorsett and Regina Dorsett and Names of Respondents Birchtree Financial Services, Inc., Roan-Meyer Associates, LP, and Charles Dwain Davis, Jr. Case Number: 04-08543 Hearing Site: Houston, Texas NATURE OF DISPUTE Customers vs. Members and Associated Person REPRESENTATION OF PARTIES Davi

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Millani Lew and Glenn Lew, Claimants v. UBS Financial Services Inc. (f/k/a UBS Paine Webber Inc.), Respondent Case Number: 04-08538 Hearing Site: Seattle, Washington Nature of the Dispute: Customers v. Member REPRESENTATION OF PARTIES For Claimants: Steven D. Toskes, Esq. Klayman & Toskes, P.A. Boca Raton, Florida For Respondent: Shont E. Miller, Esq. Munger Tolles &

Award NASD Dispute Resolution In the Matter of the Arbitration Between: George Tuttle III, MD, Georgia Turtle, and the Tuttle Family Limited Partnership, Claimants v. Salomon Smith Barney, Inc. n/k/a Citigroup Global Markets, Inc., Respondent Case Number: 04-08537 Hearing Site: Los Angeles, California Nature of the Dispute: Customers v. Member REPRESENTATION OF PARTIES For Claimants: Jared R.B. Hutton, Esq. .. ..; Law Offices of Jared R.B. Hutton

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-08532 Mark V. Brown Name of the Respondent Hearing Site: Tampa, Florida Ad vest, Inc. Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES For Mark V. Brown, hereinafter referred to as "Claimant": Bruce W. Barnes, Esq., Bruce W. Barnes, P.A., Clearwater, Florida, until July 19, 2005. Thereafter, Claimant appeared

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-08531 Margot Dealy Names of the Respondents Hearing Site: Birmingham, Alabama UBS Financial Services, Inc. Victor Hallman Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Margot Dealy, hereinafter referred to as "Claimant": Banks T, Smith, Esq., Hall, Smith, Prim & Freeman, P.A., Dothan,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-08529 Robert Helft Name of the Respondent Hearing Site: Boca Raton, Florida J.B Hanauer & Co. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Robert Helft, hereinafter referred to as "Claimant": Alan J. Foxman, Esq., The Law Office of Alan J. Foxman, P.A., Boca Raton, Florida until February 8, 2006. Thereafter, C

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Phillip A. Baum, Claimant v. Fidelity Brokerage Services LLC, Respondent Case Number: 04-08521 Hearing Site: San Francisco, California Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES For Claimant: David M. Garrett Garrett Law Office, P.C. Tulsa, Oklahoma For Respondent: Robert B. Ericson Bingham McCutchen LLP Los Angeles, California CASE INFO

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-08508 Richard L. Davis (Claimant) v. Citigroup Global Markets, Inc. f7k/a Salomon Smith Barney, Inc. (Respondent) ATTORNEYS: For Claimant Richard L. Davis ("Claimant") appeared Jan Graham, Esq., Jan Graham Law Offices, Salt Lake, City, UT. For Respondent Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. ("Respondent") appeared A. Jamie Schupp, Esq., Neal, Gerber & Eisenberg