Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-01817 Advantage Trading Group, Inc. Names of the Respondents Hearing Site: Orlando, Florida New York Global Securities, Inc., f/k/a Priority Securities, Inc. Mohandai Surajballi a/k/a Gloria Scheiman Benjamin Wei Name of Third Party Respondent John Busacca Nature of the Dispute: Member vs. Member and Associated Person vs. A

Award NASD Dispute Resolution In the Matter of the Arbitration Between: William D. Hobi, Claimant v. Goldman, Sachs & Co., Respondent Case Number: 04-01816 Hearing Site: San Francisco, California Nature of the Dispute: Associated Person vs. Member REPRESENTATION OF PARTIES For Claimant: Rodney J. Heggy, Esq. Federman & Sherwood Oklahoma City, Oklahoma For Respondent: Robin D. Fessel, Esq. Sullivan & Cromwell LLP New York, New York CA

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Michael B. Woodward and Secure Tomorrows, Inc., Claimants v. Steve F. Haug, Bartholomew J. Brady-Ciampa and Metropolitan Investment Securities, Inc., Respondents Bartholomew J. Brady-Ciampa Counter-Claimant v. Michael B. Woodward and Secure Tomorrows, Inc. Counter-Respondent Case_Number: 04-01814 Hearing Site: Portland, Oregon Nature of the Dispute: Customer v. Associated Person

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Kenneth Rosenthal d/b/a KenRose Associates, (Claimant) vs. Dain Rauscher Incorporated, (Respondent) Case Number: 00-05731 Hearing Site: Boston, Massachusetts REPRESENTATION OF PARTIES Claimant, Kenneth Rosenthal d/b/a KenRose Associates, hereinafter referred to as "Claimant": Louis J. Tavano, Esq., a sole practitioner, Las Vegas, NV. Respondent, Dain Rauscher Incorporated,

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Candace Enockson and Names of Respondents UBS Financial Services, Inc., and Carla Marie Jimenez Case Number:. 04-01807 Hearing Site: Chicago, Illinois NATURE OF DISPUTE Customer v. Member and Associated Person REPRESENTATION OF PARTIES Candace Enockson .("Claimant") was .represented by'David H. Smith, Es.q., Vanasco Genelly & Mi

Award NASD Dispute Resolution In the Matter of the Arbitration Between: William J. Begley (Claimant) v. Dresdner Kleinwort Wasserstein Group, LLC, Dresdner Kleinwort Wasserstein, LLC and Dresdner Kleinwort Wasserstein Grantchester Securities, Inc. (Respondents). Case Number: 04-01803 Hearing Site: New York City, New York Nature of the Dispute: Associated Person v. Member and Non-Members. REPRESENTATION OF PARTIES Claimant William J. Begley ("Begley"

Award NASD Dispute Resolution COPY In the Matter of the Arbitration Between: Patricia Schulze, Claimant v. Michael E. Long, Respondent Case Number: 04-01799 Hearing Site: San Francisco, California Nature of the Dispute: Customer vs. Associated Person REPRESENTATION OF PARTIES For Claimant: Patricia Schulze Santa Rosa, California For Respondent: Jeffrey S. Salisbury, Esq. Law Office of Jeffrey S, Salisbury Eugene, Oregon CASE INFORMAT

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Warren Beck, Claimant v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. and Karen E. Mumford, Respondents Case Number: 04-01797 Hearing Site: San Francisco, California Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Carl L. McConnell, Esq. Hoge, Fenton, Jones & Appel Inc. San Jose, California For R

Award NASD Dispute Resolution In the Matter of the Arbitration Between: RBC Dain Rasucher, Inc., Claimant v. Rick A Gonsalves, Respondent Case Number: 04-017% Situs: San Francisco, California Nature of the Dispute: Member v. Associated Person REPRESENTATION OF PARTIES For Claimant: Kim M. Ruckdaschel-Haley, Esq. Lindquist & Vennum P.L.L.P. Minneapolis, Minnesota For Respondent: in persona propria Roseville, California CASE INFORMATION

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Jeff Smith and Mari Beth Smith (Claimants) v. Fred L. Dowd, Fred L. Dowd Co., Jeffrey B. Osher and Raymond James Financial Services, Inc. Case Number: 04-01792 Hearing Site: Cincinnati, Ohio Nature of the Dispute: Customers vs. Associated Persons, Non-Member and Member REPRESENTATION OF PARTIES Claimants Jeff Smith ("J. Smith") and Mari Beth Smith ("M. Smith") hereinafter