Award NASD Dispute Resolution In the Matter of the Arbitration Between: Im Young Ahn (Claimant) v. Merrill Lynch, Pierce, Fenner & Smith, Inc. and Kenneth K. Yoo (Respondents) Case Number: 02-06201 Hearing Site: New York, New York Nature of the Dispute: Customer v. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Im Young Ahn ("Ahn") hereinafter referred to as "Claimant" - Pro se. Previously represented by: Peter S. Jeon, Esq., Law O

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-06200 Naomi I. Hoffman, claimant vs. David E. Ballard, Salomon Smith Barney, Inc., respondents. ATTORNEYS: For Claimant appeared Jack M. Cornelius, Esq., Sedona, AZ. For Respondents appeared in-house counsel, Ann Parry, Esq., New York, NY. DATE FILED: October 16, 2002 CASE SUMMARY: Claimant alleged that respondents placed her in an investment program that was unsuitable to her investment

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-06199 Robert F. Mensik, claimant vs. Robert W. Baird & Co., Inc., John M. Hohmann, and Paul Stenklyft, respondents. ATTORNEYS: Claimant appeared pro se, previously residing in Green Valley, AZ and currently residing in Anthem AZ. For Respondents appeared in-house counsel Moira K. Moran, Esq., Milwaukee, WI. DATE FILED: October 16, 2002 . CASE SUMMARY: Claimant alleged that respondent

HtvM-03 01:09pm FroHf ' , ' • * - - T-9B1 P.OOZ F-301 V/ 13/ZVUd id . a* "Award NASD Dispute Resolution In the Matter of the Aifctoatkra Between: rnnhfT* 07-06136 YvesdeRosBe MajiaTercsaFufci-deRnsee Hffnng Sftn: Waafaingtoa, DC ManD Lynch, Pkrce, Fcuncr & Sxrifli, ]nc- NatoaD- Marsden Nature of the Dilute: Customer \S- Member and Associated Person. Y\^deRosce ami Maria Teresa FoL^^ James J. Faugbnan, Esq^ Quagfeno A Seegcr, Wasinngt

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf thf» Claimant C.ase. Number- 07-061QS Etta Brenda Brown Name of thp ttpspnndents Hearing Site: Washington, DC Salomon Smith Barney, Inc. James Burner Keith Burner Nature of the Dispute: Customer vs. Member and Associated Persons. RFPRF.SKNTATTON OF PARTIES Claimant, Etta Brenda Brown, "Claimant", was represented by Wesley L. Clarke, Esq., Law Offices of Wesle

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Darius Khadem, Claimant v. First American Equities, Inc. nka The Camelot Group, Inc., Everen Securities nka Wachovia, et al, Respondents Case Number: 02-06191 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: In Propria Persona Los Angeles, California For Respondents: First American Equities, Inc. (hereinafter referred to as 'The Camel

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: David A. Guydish, Claimant v. Citigroup Global Markets, Inc. (also known as Salomon Smith Barney, Inc.), William David Hobby and Jack B. Grubman, Respondents Case Number: 02-06189 Hearing Site: San Francisco, California Nature of the Dispute: Customer vs. Member and Associated Persons REPRESENTATION OF PARTIES For Claimant: Adam S. Doner, Esq. Gordon & Doner, P.A.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Wendy McGhee Names of the Respondents Malachi Holdings, Inc. Corey Fuller Case Number: 02-06187 Hearing Site: Atlanta, Georgia REPRESENTATION OF PARTIES Wendy McGhee, hereinafter referred to as "Claimant", appeared pro se. For Respondent, Malachi Holdings, Inc. ("Malachi"): Thomas Diggs, Jr., Managing Director, Compliance, The Malachi Group,

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Max R. Stover, Claimant v. Workman Securities Corporation, Respondent. Case Number: 00-04085. Hearing Site: Cincinnati, Ohio, REPRESENTATION OF PARTIES David S. Mann, Esquire, Cincinnati, Ohio, represented Claimant Max R. Stover ("Stover"). Adam P. Hall, Esquire, of Frost Brown Todd LLC, Cincinnati, Ohio, represented Respondent Workman Securities Corporation, ("Workman

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 00-00423 Joseph A. Buttacavoli, claimant vs. Prudential Securities, Inc. and Joseph Cecere, respondents. ATTORNEYS: For Claimant, Joseph A. Buttacavoli, ("Claimant") appeared Raymond Gaitan Esq., Orange, CA. For Respondents, Prudential Securities, Inc. and Joseph Cecere, ("Respondents"), appeared in- house counsel, Marcia Williams, Esq., New York, NY. DATE FILED: January 31, 2000