NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-05048 William Ruhe, IRA, (Claimant) vs. Fidelity Brokerage Services, LLC, (Respondent) ATTORNEYS: For Claimant appeared Scott A. Lane, Esq., of the firm Edgar Snyder & Associates, LLC, Pittsburgh, PA. Respondent did not submit an Answer to the Statement of Claim. NATURE OF DISPUTE: Customer vs. Member DATE FILED: September 22,2005 CASE SUMMARY: Claimant alleged that Respondent breach

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Ali Heravi and Amo, Inc., Claimants v. Morgan Stanley DW, Inc. and Debbie A. Gianelli, Respondents Case Number: 01-00615 Hearing Site: Seattle, Washington REPRESENTATION OF PARTIES For Claimants: Thomas P. Sughrua, Esq. Sughrua & Associates, Inc. Seattle, Washington For Respondents: Christopher B. Wells, Esq. Lane Powell Spears Lubersky LLP Seattle, Washington CA

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-04966 Oppenheimer & Co., Inc., (Claimant) vs. Peter L. Totaro, (Respondent) ATTORNEYS: For Claimant appeared in-house counsel Eric J. Shames, Esq., New York, NY. Respondent appeared pro se, New York, NY. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: September 21, 2005 CASE SUMMARY: Claimant alleged that Respondent breached a contract by failing to repay monies owed pursu

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 05-04952 Robert W. Baird & Co. Incorporated Name of the Respondent Hearing Site: Tampa, Florida Mark McKoan Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Robert W. Baird & Co. Incorporated, hereinafter referred to as "Claimant": Moira K. Moran, Vice President and Staff Attorney to Claimant, and Brian D. Trexe

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Edward G. Kuekes and Roberta E. Kuekes, individually and as co-trustees of the Kuekes Living Trust; Sherrill K. Bouchereau, as trustee of the Kuekes Trust; Joyce Elaine McClellan and Sherrill K. Bouchereau, as co-trustees of the Kernel Trust and Names of Respondents Nova Financial Group, Inc. and Timothy B. Dickey Case Number: 05-04947 Heari

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Citigroup Global Markets Inc., Claimant v. John Paul La Belle, Respondent Case Number: 05-04937 Hearing Site: Seattle, Washington Nature of the Dispute: Member v. Associated Person REPRESENTATION OF PARTIES For Claimant: Steven T. Masada, Esq. Hillis Clark Martin & Peterson Seattle, Washington For Respondent: Jean Paul La Belle Pro Se Seattle, Washington CASE

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE; 05-04901 Thomas B. Lovell, Individually and as President of Thomas B. Lovell, Inc., (Claimants) vs. Edward D. Jones & Co., (Respondent) ATTORNEYS: For Claimants appeared Robert H. Rex, Esq., of the firm Dickenson, Murphy, Rex & Sloan, Boca Raton, FL. For Respondent appeared Joseph B. Genster, Esq., of the firm Hillis Clark Martin & Peterson, P.S., Seattle, WA. NATURE OF DISPUTErCustomer

Award NASD Dispute Resolution In the Matter of the Arbitration Between: American Capital Partners, LLC (Claimant) vs. Brad Mitchell (Respondent) Case Number: 05-04890 Hearing Site: New York, New York Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant American Capital Partners, LLC hereinafter referred to as "Claimant": J. Christopher Albanese, Esq., American Capital Partners, LLC, Hauppauge, NY. Respondent Brad M

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the riflimants Case Number: 05-04888 Mantel & Associates, Ltd. Kick Mantei Names nf thfi RegpnnHfintg Hairing Site: Columbia, SC DanaAshcraft Raymond James Financial Services, Inc. CountyBanc Investments, Inc Nature of the Dispute: Non-Member and Associated Person vs. Associated Person, Member and Non-Member. RFPPF.SF.NTATTON OF PARTIES Claimants, Mantei

Award NASD Dispute Resolution In the Matter of the Arbitration Between: J. Jeffrey Donnell, Claimant v. Citigroup Global Markets, Inc., Respondent Case Number: 05-04885 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member REPRESENTATION OF PARTIES For Claimant: Dennis R. Villavicencio> Esq. Akins & Villavicencio, LLP Carlsbad, California For Respondent: Adam M. Kauff, Esq. Citigroup Global Markets, Inc. New Yor