Award NASD Dispute Resolution In the Matter of the Arbitration Between: Citigroup Global Markets Inc. (f/k/a Salomon Smith Barney Inc.), Claimant v. Jason K. Pearce, Respondent Case Number: 05-01020 Hearing Site: San Francisco, California Nature of the Dispute: Member v. Associated Person REPRESENTATION OF PARTIES For Claimant: Joseph A.G. Sakay, Esq. Hillis Clark Martin & Peterson, P.S. Seattle, Washington For Respondent: In Propria Per

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-01012 Elaine S. Brannan, TTEE of James Brannan, (Claimant) vs. Prim Securities Inc., Prim Advisors Inc., Anthony D. Delfre, Joseph A, Lombardo (Respondents) and Prim Advisors Inc. and Prim Securities Inc. (Third party Claimants/ Cross Claim Respondents) v. Michael C. Brady, (Third Party Respondent/Cross Claim Claimant) ATTORNEYS: Claimant appeared pro se, Fairview Park, OH. For Responden

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE:01-01793 Ameritrade, Inc., claimant vs. Paik K. Hong, respondent. ATTORNEYS: For Claimant appeared James J. Vihstadt, Esq., in-house counsel, Bellevue, NE. Respondent appeared Pro Se, Annandale, VA. DATE FILED: April 9, 2001 CASE SUMMARY: Claimant alleged that respondent failed to repay the debit balance on his individual margin account. Claim Data Award Data Claim: $8,804.37 A

Award NASD Dispute Resolution hi the Matter of the Arbitration Between: TvJ^mp nf thf* riaimfltitg r flff p >frmiV»gr 05-00977 Robin Richards and Kenneth Wright &e: Dallas, Texas Capital West Securities, Inc. NATTTPI?. n Public Customers v. Member Firm OF PAPTTF.S Claimants Robin Richards ("Richards") and Kenneth Wright ("Wright"), hereinafter collectively referred to as "Claimants": Richard Lewins, Esq. and Chris Claasse

Award NASD Dispute Resolution In the Matter of the Arbitration Between: t Karen Wanemaker (Claimant) vs. Advest, Inc. and Edward Carlsen, Sr. (Respondents) Case Number: 05-00967 Hearing Site: Buffalo, New York Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant Karen Wanemaker hereinafter referred to as "Claimant": Kevin A. Szanyi, Esq. and Michael P. McClaren, Esq., "Webster Szanyi, LLP, Buffalo, NY.

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Lilia G. Sims-Horn, Individually and as Trustee of the Lilia G. Sims-Horn Rev. Trust Agreement U/A/D 04-18-96 and Respondents Merrill Lynch Pierce Fenner & Smith, Inc., Kevin Thomas McCarthy, H&R Block Financial Advisors, Inc., and Christopher Lawrence Balcerowiak Case Number: 05-00957 Hearing Site: Southfield, Michigan NATURE OF DISPUTE Custo

Award NASD Dispute Resolution In the Matter of the Arbitration Between: National Planning Corporation (Claimant) v. Jorge Fernandez (Respondent) Case Number: 05-00952 Hearing Site: Cleveland, Ohio Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant National Planning Corporation hereinafter referred to as "Claimant": Kenneth A. Bravo, Esq., Ulmer & Berne, LLP, Cleveland, OH. Respondent Jorge Fernandez hereinafter r

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Michael Trikilis and Melissa Trikilis, Claimants v. Merrill Lynch, Pierce, Fenner & Smith Incorporated, UBS Financial Services Inc., Frank Page, and Page & M.A, Business Management, Inc., Respondents Frank Page, Counter-Claimant v. Michael Trikilis and Melissa Trikilis, Counter-Respondents Case Number: 05-00949 Hearing Site: Los Angeles, California Nature of the Dispute: Customers v

Award . NASD Dispute Resolution In the Matter of the Arbitration Between: Names nf thp Claimants C!ase NuTnbpE! 05-00944 William G..and Constance A. Karis .' , 11 ipg Sifft- Pittsburgh, Pennsylvania PNC Investments, Inc. David CDiCio . Nature of the Dispute: Customers vs. Member and Associated Person. , i RFPRFSFNTATTON OF PAPTTFS . f Claimants, William G. and Constance A. Karis , hereinafter collectively referred to as "Claimant

Award NASD Dispute Resolution In the Matter of the Arbitration Between: The Allen W. Love Life Insurance Trust, Claimant v. Mony Life Insurance Company, The Mony Group, and William G. Stafford, Respondents Case Number: 05-00936 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Non-Members and Associated Person REPRESENTATION OF PARTIES For Claimant: Michael E. Reznick, Esq. Hess-Verdon & Associates Newport Beach, Californi