Award NASD Dispute Resolution In the Matter of the Arbitration Between: Darren Tsui and Tina Tsui, Claimants v. RBC Dain Rauscher Inc. and Mark Bailey, Respondents Case Number: 04-06265 Hearing Site: Seattle, Washington Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES For Claimants: John A. Bender, Esq. Kristin Nealey Meier, Esq. Ryan, Swanson & Cleveland, PLLC Seattle, Washington For Respondents

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Evelyn Dolores Hendrichs, Claimant v. A.G. Edwards & Sons, Inc., Respondent Case Number: 04-06264 Hearing Site: Las Vegas, Nevada Nature of the Dispute: Customer v. Member REPRESENTATION OF PARTIES For Claimant: Rosalind M. Robertson, Esq. Nicholas P. lavarone, Esq. Simmons Cooper LLC East Alton, Illinois For Respondent: Dennis Capriglione, Esq. A.G. Edwards & Sons,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-06261 Mary S. Nelson, Individually and as Owner and Beneficiary of the Mary S. Nelson IRA Name of the Respondent Hearing Site: Tampa, Florida Prudential Equity Group, LLC, f/k/a Prudential Securities Incorporated Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Mary S. Nelson, Individually and as Owner

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE:01-00284 Wayne Goldstein, claimant vs. Morgan Stanley Dean Witter Online, respondent. ATTORNEYS: Claimant appeared Pro Se, Rutherford, NJ. For Respondents appeared Judith M. Rosenberg, Esq., in-house counsel, San Francisco, CA. DATE FILED: January 18, 2001 CASE SUMMARY: Claimant alleged that respondents liquidated his margin account without any notification creating a margin call there

AWARD NASD DISPUTE RESOLUTION In the Matter of the Arbitration Between: Morgan Keegan & Company, Inc. Claimant, vs. Chad James Johnson, Respondent. Situs: Dallas, Texas. Case Number: 04-06252 NATURE OF DISPUTE; Member v. Associated Person REPRESENTATION OF PARTIES: Morgan Keegan & Company, Inc., hereinafter referred to as "Claimant": Shea O'Brien Hicks, Esq. of Morgan Keegan & Company, Inc., Memphis, Tennessee. Respondent did not

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-06238 CIBC World Markets Corp., Claimant v. Joseph Gomez, Respondent ATTORNEYS: For Claimant CIBC World Markets Corp. ("Claimant") appeared Michelle A. Murphy, Esq., in- house counsel, CIBC World Markets Corp., New York, NY. Respondent Joseph Gomez ("Respondent") did not file a Statement of Answer in this matter. NATURE OF DISPUTE: Member v. Associated Person^ DATE FILED: August 31, 2004

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Kent E. Wilson, and Michael D. Wilson, FBO UTD 1/2/01, Claimants v. Wedbush Morgan Securities Inc. and Frank W. Klescewski, Respondents Case Number: 04-06226 Hearing Site: Salt Lake City, Utah Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES For Claimants: Alexander G. van Broek, Esq. Law Offices of Alexander G. van Broek Oakland

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant/Counter-Respondent UBS Financial Services, Inc. and Case Number: 04-06222 Hearing Site: Troy, Michigan Respondents/Counter-Claimants Wilmoco Capital Management, LLC and Carl B. Smalls NATURE OF DISPUTE Member v. Customers and Customers v. Member REPRESENTATION OF PARTIES UBS Financial Services, Inc. ("Claimant") was represented by Sandra D. Grannum, Esq.,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: nf fop Plaimant Pggp Murnhpr- 04-06221 Mary A. Bumham ^ Respondent H^flrifS Sit ft ' Dallas, Texas Raymond James Financial Services, Inc. NATTTttV OF THF TfcTSPTTTF. Public Customer v. Member Firm Claimant Mary A. Burnham, hereinafter referred to as "Claimant": Robert L. Wright, Esq., of Wright & Gunter LLP, located in Fort Worth, Texas. Respondent Raymond James

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-06196 Stephen J. Vitale and Frances C.VitaleJTWROS Stephen J. Vitale, IRA Names of the Respondents Hearing Site: Tampa, Florida Citigroup Global Markets, Inc., f/k/a Salomon Smith Barney, Inc. JackB. Grubman Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Stephen J. Vitale and Fr