Award NASD Dispute Resolution In the Matter of the Arbitration Between: Murray Goldfinger (Claimant) vs. Wachovia Securities, LLC (Respondent) Case Number: 05-05679 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES ™~ - — - ^~^— t^ Claimant Murray Goldfinger hereinafter referred to as "Claimant": Benjamin Lapin, Stock Market Recovery Consultants, Inc., Brooklyn, NY. Respondent Wachovia Securit

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION ^.^ CASE: 05-05654 Tye T. Morgan, (Claimant) vs. Scottrade, Inc., (Respondent) ATTORNEYS: Claimant appeared pro se, Elk, WA. For Respondent appeared in-house counsel Andrew Small, St Louis, MO. NATURE OF DISPUTE: Customer vs. Member DATE FILED: November 4,2005 CASE SUMMARY: Claimant alleged that Respondent felled to properly execute trades, breach of contract, and failure to honor obligat

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Tantalus Manor, Ltd., (Claimant) vs. Donald & Co. Securities, Inc. and Benjamin Kaplan, (Respondents) Case Number: 01-00624 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant Tantalus Manor, Ltd., hereinafter referred to as "Claimant": Daniel A. Eigerman, Esq., a sole practitioner, New York, NY. Respondent Donald & Co. Securities, Inc. ("Donald"): Barry R. Temki

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-05629 Pieter R. Wiederhold, (Claimant) vs. John M. Koulopoulos, (Respondent) ATTORNEYS: Claimant appeared prose. Gumming, GA. For Respondent appeared AG Edwards & Sons, Inc.'s in-house counsel Sherry A. Wolk, Esq., SL Louis. MO. NATURE OF DISPUTE: Customer v. Associated Person DATE FILED: November 1, 2005 CASE SUMMARY: Claimant alleged that Respondent breached his fiduciary duty by

NASD DISPUTE RESOLUTION AWARD NASD DISPUtE RESOLUTION CASE: 05-05603 John Keenan, (Claimant) vs. Chase Investment Services Corp., (Respondent) ATTORNEYS: 7 For Claimant appeared Steven E, Cole, Esq., of the firm Wolford & LeClair, LLP, Rochester, NY. For Respondent appeared in-house counsel Sandra Ahn, Esq., New York, NY. NATURE OF DISPUTE: Customer vs. Member DATE FILED: November 1, 2005 CASE SUMMARY: Claimant alleged that Respondent failed to

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-05583 ' James D. Griffin, (Claimant) vs. Edward D. Jones & Co., (Respondent) ATTORNEYS: ' 7 For Claimant appeared Chris Claassen, Esq., of the firm Burg Simpson Eldredge Hersh Jardine PC, Dallas, TX. For Respondent appeared Sandra B. Gallini, Esq., of the firm Greensfelder, Hemker & Gale, P.C.,St Louis, MO. NATURE OF DISPUTE: Customer vs. Member DATE FILED: October 28,2005

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-05577 ' National Securities'Corporation, (Claimant) vs. Michael Frontera, (Respondent) ATTORNEYS: ~ For Claimant appeared Michael S. Colombo, President and CEO of Street Wide Asset Recovery Group, Inc., Lyndhurst, NJ- Respondent appeared pro se, New York, NY. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: November 1,2005 CASE SUMMARY: Claimant alleged that Respondent fail

NASD DISPUTE RESOLUTION A WARD NASD DISPUTE RESOLUTION CASE: 05-05430 Grant E. Swinehart, (Claimant) vs. David N. Brown, James P. O'Connell and Citigroup Global Markets, Inc., (Respondents) ATTORNEYS: ~~ ~~ Claimant appeared pro se* Naperville, FL. For Respondents appeared in-house counsel, Lydia R. Zaidman, Esq., New York, NY. NATURE OF DISPUTE: Customer v. Member and Associated Persons DATE FILED: October 19,2005 CASE SUMMARY: Claimant alleged

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-05392 William H. Harvey, (Claimant) vs. Ralph Albers and H&R Block Financial Advisors, Lac., (Respondents) ATTORNEYS: ~~ For Claimant appeared Martin J. Brosnan, Esq., of the firm Caputo Brosnan, Warren, MI, For Respondents appeared in-house counsel Lisa S. Fildes, Esq., Detroit, ML NATURE OF DISPUTE: Customer v. Member and Associated Person DATE FILED: October 14,2005 CASE SUMMARY

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-05374 Wells Fargo Investments, LLC, (Claimant) vs. John Hanson, (Respondent) ATTORNEYS: For Claimant appeared Diane C. Fischer, Esq., of the firm Kane & Fischer, Ltd., Chicago, IL. Respondent did not submit an Answer to the Statement of Claim. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: October 17, 2005 CASE SUMMARY: Claimant alleged that Respondent breached a contract by