Award NASD Dispute Resolution In the Matter of the Arbitration Between: Keong Wing Lee (Claimant) vs. Signature Securities Group (Respondent) Case Number: 05-04862 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Keong Wing Lee hereinafter referred to as "Claimant" appeared pro-se. Respondent Signature Securities Group hereinafter referred to as "Respondent": Andrew J. Goodman,

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-04661 Joseph D. Baka, (Claimant) vs. Metlife Securities Inc. and Larry Kinner, (Respondents) ATTORNEYS: For Claimant appeared Wayne Kaye, Simpsonvtlle, SC. For Respondents appeared B. John Pendleton, Esq., of the firm McCarier & English, LLP, Newark, NJ. NATURE OF DATE FILED: DISPUTE: Customer v. Member and Associated Person September 15,2005 CASE SUMMARY: Claimant alleged th

Award NASD Dispute Resolution Y In the Matter of the Arbitration Between: Ralph Rubenstein, JANT Foundation, Rubenstein Family Revocable Trust, and I. & L. Rubenstein Family Foundation, Claimants v. Merrill Lynch, Pierce, Fenner, & Smith Inc., Respondent Case Number: 01-00613 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimants: Jeffrey K. Rifler, Esq. Jeffer, Mangels, Butler & Marmaro, LLP Los Angeles, California Fo

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Nurnhpr- 00-00628 Steven.A. Diorio .. Name r>f the Respondents Hearing Slite- Philadelphia, Pennsylvania Baxter Banks & Smith, Ltd., Fiserv Clearing, Inc., Fiserv Correspondent Services, Inc., Eliott G. Downs, Daniel J. Phillips, Francis M. McDermott, Charles Masi, Maurizio V. Gramniatica, Robert J. Ogilvie, and John McGowan, III. Name n

NASD DISPUTE RESOLUTION STIPULATED AWARD NASD DISPUTE RESOLUTION CASE: 05-04851 Richard Steven Bernstein, (Claimant) vs. Marcie Belenke, (Respondent) ATTORNEYS: r For Claimant appeared Debra A. Jenks, Esq., of the firm Dobin & Jenks, LLP, Jupiter, FL. For Respondent appeared William B. Young, Esq., of the firm Hooper & Weiss, LLC, Orlando, FL. NATURE OF DISPUTE: Associated Person vs. Customer DATE FILED: September 12, 2005 CASE SUMMARY

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Prudential Equity Group, LLCf/k/a Prudential Securities Incorporated Name of the Respondent Michael J. Mizzarisi Case Number: 05-04808 Hearing Site: Atlanta, Georgia Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Prudential Equity Group, LLC f/k/a Prudential Securities Incorporated, hereinafter referred to as

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-04800 The Gertrude M. Meyer Revocable Trust dtd 10/04/91, (Claimant) vs. Edward D. Jones & Co., (Respondent) ATTORNEYS: For Claimant appeared Nicholas J. Guiliano, Esq., of The Guiliano Law Firm, Philadelphia, PA. For Respondent appeared E. Linwood Gunn, IV, Esq., of the firm Brock, Clay & Calhoun, P.C., Marietta, GA. NATURE OF DISPUTE: Customer vs. Member DATE FILED: September 7

NASD DISPUTE RESOLUTION STIPULATED AWARD NASD DISPUTE RESOLUTION I L CASE: 05-04782 Michael E. Swan, (Claimant) vs. The Cassidy Family Trust DTD 10/07/92, Emmett Cassidy and Mary H. Cassidy, (Respondents) i ATTORNEYS: For Claimant appeared Jill M. Buresh, Esq., of the firm Jones, Bell, Abbott, Fleming & Fitzgerald, L.L.P., Los Angeles, CA. For Respondents appeared Ian M. Guthrie, Esq., of the firm Schley, Look & Guthrie, L.L.P., Santa Barbar

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Edward Rosenberg (Claimant) vs. Merrill Lynch Pierce Fenner & Smith, Inc. and Justin Cho (Respondents) Case Number: 05-04774 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Edward Rosenberg hereinafter referred to as "Claimant": George M. Gavalas, Esq., Law Office of George M. Gavalas, Mineola,

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-04754 Joseph H. Kenworthy, (Claimant) vs. Charles Schwab & Co., Inc., (Respondent) ATTORNEYS: '' Claimant appeared pro se, Santa Barbara, CA. For Respondent appeared in-house counsel Katherine Nathan, Esq., San Francisco, CA. NATURE OF DISPUTE: Customer vs. Member DATE FILED.: September 7, 2005 CASE SUMMARY: Claimant alleged that Respondent omitted facts regarding investments. Claima