NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-06026 Ronna Markowitz and Harvey West, as Trustees for the Ann Shesol Trust (Claimants) vs. Wachovia Securities, LLC, (Respondent) ATTORNEYS: For Claimants appeared Anthony Hartman, Esq., of the firm Hermann, Cahn & Schneider, LLP, Cleveland, OH. For Respondent appeared in-house counsel Andrew R. Park, Esq., Richmond, VA. NATURE OF DISPUTE: Customers vs. Member DATE FILED: November 2

3NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-06024 John E. Price (Claimant) v. Citigroup Global Markets, Inc. and David McGrouther, (Respondents) ATTORNEYS; Claimant appeared fro se t Saratoga, CA. For Respondents appeared in-house counsel, Lydia R. Zaidman, Bsq., New York, NY. NATURE OF DISPUTE: Customer v. Member and Associated Person DATE FILED: November 23,2005 CASE SUMMARY: Claimant alleged that Respondents neglig

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Jane Lee and Chang-Kang Lee, (Claimants) vs. Avalon Partners, Inc., Vincent Au, Samuel J. Agosta, Peter Bull, and Bradley G. Treichler, (Respondents) Case Number: 01-00628 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Jane Lee ("J. Lee") and Chang-Kang Lee ("C. Lee"), hereinafter collectively referred to as "Claimants": Jenice L. Malecki, Esq., The Law

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE; RESOLUTION CASE: 05-06018 S.W. Bach & Company, (Claimant) vs. Giovanni Denaro, (Respondent) ATTORNEYS: For Claimant appeared Michael S. Colombo, President and CEO of StreetWide Asset Recovery Group, Inc. Respondent appeared pro se, New Hyde Park, NY. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: November 23, 2005 CASE SUMMARY: Claimant alleged that Respondent breached a contract by failing

CASE: 05-05978 McNally Financial Services Corporation, (Claimant) vs. Darren Neal Warden, (Respondent) ATTORNEYS: For Claimant appeared in-house counsel David D. McNally, San Antonio TX, Respondent did not submit an Answer to the Statement of Claim. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: November 22,2005 CASE SUMMARY: Claimant alleged that Respondent failed to repay monies owed pursuant to the terms of an Independent Contractor Agree

AWARD NASD DISPUTE RESOLUTION In the Matter of the Arbitration Between: Bane of America Investment Services, Inc., Claimant vs. Steven P. Galko, Respondent Case Number: 05-05896 SITUS: Dallas, Texas. NATURE OF DISPUTE: Member vs. Associated Person. REPRESENTATION OF PARTIES: Bane of America Investment Services, Inc., hereinafter referred to as "Claimant": Diane C. Fischer, Esq., located in Chicago, Illinois. Respondent Steven P. Galko did not en

Award NASD Dispute Resolution In the Matter of the Arbitration Between: The K&K Family Limited Partnership, Claimant v. First Financial Equities Corporation, Respondent Case Number: 05-05850 Hearing Site: Phoenix, Arizona Nature of the Dispute: Customer v. Member REPRESENTATION OF PARTIES For Claimant: Clarence E. Rurek The K&K Family Limited Partnership Scottsdale, Arizona For Respondent: Melissa Strouse First Financial Equity Corporati

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-05826 Citigroup Global Markets, Inc., (Claimant) vs. James Curtis McCauley, (Respondent) ATTORNEYS: ~~ For Claimant appeared Matthew B. Henneman, Esq., of the firm Watt Beckworth Thompson & Henneman, L.L.P., Houston, TX. Respondent appeared pro se, Longview, TX. NATURE OF DISPUTE: Member v. Associated Person ~ DATE FILED: November 14,2005 CASE SUMMARY: Claimant alleged that Responden

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-05817 Michael E. Scalia Jr. and Rosemarie Scalia, (Claimants) vs. E*Trade Securities, (Respondent) ATTORNEYS: Claimants appeared prose, Danvers, MA. For Respondent appeared in-house counsel John Bersin, Esq., Rancho Cordova, CA. NATURE OF DISPUTE: Customers vs. Member DATE FILED: November 10,2005 CASE SUMMARY: Claimants alleged that Respondent made errors in transfers in their ac

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-05792 Antonio Tafurt, Maria Teresa Mejia, Maria Rojas de Tafurt and Hallel International Ltd (successor in interest to Antonio Tafurt), (Claimants) vs. Wachovia Securities, LLC. And Denis Barreto, (Respondents) ATTORNEYS: Claimants appeared pro se, Aventura, FL and Bogota, Colombia. For Respondents appeared Prudential Equity Group, LLC's in-house counsel Carole A. McDonald, Esq. p