AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Kelvin Williams and Name of Respondent Merrill Lynch Pierce Fenner & Smith, Inc. Case Number: 05-04614 Hearing Site: Houston, Texas NATURE OF DISPUTE Customer v. Member Firm REPRESENTATION OF PARTIES Kelvin Williams ("Claimant") was represented by Debra Brewer Hayes, Esq., Woska & Hayes, LLP, Kingwood, Texas. Merrill Lynch Pierce Fenner &

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-04611 Newbridge Securities Corporation, (Claimant) vs. William Harris, (Respondent) ATTORNEYS: For Claimant appeared Michael S. Colombo, President and CEO of Streetwide Asset Recovery Group, Inc., Lyndhurst, NJ. Respondent appeared pro se, Phoenix, AZ. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: September 1, 2005 CASE SUMMARY: Claimant alleged that Respondent breached

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-04607 Patricia and Robert Thomas, (Claimants) vs. Metropolitan Life Insurance Company, (Respondent) ATTORNEYS: For Claimant appeared John J. McGovern, Jr., Esq., Scranton, PA. For Respondent appeared B. John Pendleton, Esq., of the firm McCarter & English, LLP, Newark, NJ. NATURE OF DISPUTE: Customers vs. Member DATE FILED: August 29, 2005 CASE SUMMARY: Claimants alleged that Res

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-04606 Seibt Financial Services, (Claimant) vs. First Clearing, LLC and Knight Equity Markets, L.P., (Respondents) ATTORNEYS: For Claimant appeared Joseph F. Kyle, Esq., of the firm Kyle & Kyle, Attorneys at Law, Las Vegas, NV. For Respondent First Clearing, LLC appeared in-house counsel Brian A. McCormack, CCO, Glen Allen, VA. For Respondent Knight Equity Markets, L.P. appeared in-ho

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-04581 Karen Kahn, (Claimant) vs. UBS Financial Services Inc., Richard Fennema, Ronald Medaris, Jr., Douglas Amyett, and Donald Littlefield, (Respondents) ATTORNEYS: Claimant appeared pro se, Tyler, TX. For Respondents appeared in-house counsel E. Andre Velez, Esq., Weehawken, NJ. NATURE OF DISPUTE: Associated Person vs. Member and Associated Persons DATE FILED: August 27, 2005 CASE S

Award NASD Dispute Resolution In the Matter of the Arbitration Between: ** nf the. npjmgnt ^flft* NnmN*" 01-00608 Campbell Janitorial & Investments, Inc. A.G. Edwards & Son, Inc. Jerome Raders TfrflfJTIS ^i* ft ' Houston, Texas nir Claimant, Campbell Janitorial & Investments, Inc., hereinafter referred to as "Claimant**: Gonzalo Joseph Barrientos, Esq., of the Law Offices of Josheph Barrientos, located in Corpus Christi, Texas. R

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-04580 Carolyn and Max Ender, (Claimants) vs. Edward D. Jones & Co., (Respondent) ATTORNEYS: For Claimant appeared Richard A. Lewins, Esq., of the firm Burg Simpson Eldredge Hersh Jardibe P.C., Dallas, TX. For Respondent appeared Sandra B. Gallini, Esq., of the firm Greensfelder, Hemker & Gale, P.C., St. Louis, MO. NATURE OF DISPUTE: Customers vs. Member DATE FILED: August 31, 2005

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 05-04552 Emma Jeanette McCall, Individually Loyd H. McCall, Jr., Individually Emma Jeanette McCall Revocable Living Trust Name of the Respondent Hearing Site: Atlanta, Georgia Ogilvie Security Advisors Corporation, an Illinois Corporation Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Emma Jeanette McCall

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Citigroup Global Markets Inc. f7k/a Salomon Smith Barney Inc., Claimant v. Joseph Hawach, Respondent Case Number: 05-04542 Hearing Site: Honolulu, Hawaii Nature of the Dispute: Member v. Customer REPRESENTATION OF PARTIES For Claimant: James A. Cracolici, Esq. Alonso, Andalkar & Kahn, P.C. New York, New York For Respondent: Joseph Hawach In Propria Persona City o

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Peter J. Coons (Claimant) vs. Charles Schwab & Co., Inc. (Respondent) Case Number: 05-04524 Hearing Site: Albany, New York Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant Peter J, Coons hereinafter referred to as "Claimant" appeared pro se. Respondent Charles Schwab & Co., Inc. hereinafter referred to as "Respondent": Sean B. Meehan, Esq., Charles S