Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-06678 Sarah Swanson Names of the Respondents Hearing Site: Atlanta, Georgia Prudential Securities, Incorporated W. Gary Floyd Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Sarah Swanson, hereinafter referred to as "Claimant": Edward J. Dovin, Esq., Gard Smiley Bishop & Dovin For Pr

StipulatedAward NASD Dispute Resolution In the Matter of the Arbitration Between: Namf- nf the flaimant Pagp Number 04-06856 Richard Stein ' Hearing Site; Washington, DC Linsco/Private Ledger Corporation American Skandia Marketing, Inc. John Reutemann Nature of the Dispute: Customer vs. Members and Associated Person. RFPRPSFNTATTON OF PAttTTFR Claimant, Richard Stein ("Claimant"), was represented by Morgan W. Bentley, Esq., Attorney at L

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Monte D. Haynes, Monte D. Haynes, IRA, Maureen L, Haynes House Sale Proceeds, and Maureen L. Haynes Res Fund Trust, Claimants v. Raymond James Financial Sendees, Inc., Judith A. McGee, and McGee Financial Strategies, Inc., Respondents Case Number: 04-06841 Hearing Site: Portland, Oregon Nature of the Dispute: Customers v. Member, Non-Member and Associated Person REPRESENTATION OF PA

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant James M. Barnes and 04-06828 ; . Chicago, Illinois Name of Respondent . Wachovia Securities, LLC Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES James M. Barnes ("Claimant") was represented by Thomas M. Knepper, Esq., Chicago, Illinois. \Yachovia Securities, LLC ("Respondent") was represented by SandraD. Grannum, Esq., D

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE:01-00302 Robert W. Baird & Co., Incorporated, claimant vs. Brett A. Virgin, respondent. ATTORNEYS: For Claimant appeared Brian D. Trexell, Esq., in-house counsel, Milwaukee, WI. For Respondent appeared Lawrence M. Merlin, Esq. of the firm Friedman, Dever & Merlin, LLC, Atlanta, GA. DATE FILED: January 19, 2001 CASE SUMMARY: Claimant alleged that respondent failed to submit monies owed

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Jila Ahdot, Claimant v. Salomon Smith Barney Inc. n/k/a Citigroup Global Markets Inc., Respondent Case Number: 04-06808 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member REPRESENTATION OF PARTIES For Clamant: Ida Ahdot In propria persona Encino, California For Respondent: Raul S&nchez, Esq. Citigroup Global Markets Inc. New York, New

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Hildred Levine, Individually, as Trustee and as Beneficiary of the Hildred Levine Revocable Trust, the Charles Levine Trust and the Fannie Milstein Revocable Trust Name of the Respondent Citigroup Global Markets, Inc. d/b/a Smith Barney Case Number: 04-06804 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member. REPRESE

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Richard C. and Anney M. Denney and Names of Respondents UBS Financial Services, Inc., and Thomas Wade Cummings Case Number: 04-06785 Hearing Site: Houston, Texas NATURE OF DISPUTE Customers v. Member Firm And Associated Person REPRESENTATION OF PARTIES , i ' * Richard 'C. and Anney M. Denney ("Claimants") were represented by Fran

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Robert W.Walker and Nancy W. Walker, individually and as co-trustees of the Robert W. Walker and Nancy W. Walker Family Living Trust; and Robert W. Walker, Jr., as trustee of the Walker Irrevocable Trust vs. Names of Respondents Nova Financial Group, Inc., and Timothy B. Dickey Case Number: 04-06760 Hearing Site: Oklahoma City, Oklah

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Eugene J. Gau and Kathleen R. Gau and Name of Respondent Gail M. Werner-Robertson Case Number: 04-06759 Hearing Site: Omaha, Nebraska NATURE OF DISPUTE Customers v. Associated Person REPRESENTATION OF PARTIES Eugene J. Gau and Kathleen R. Gau ("Claimants") were represented by Rodney K. Vincent, Esq., Vincent Law Offices, Lincoln, Nebraska.