Award NASD Dispute Resolution In the Matter of the Arbitration Between: Citigroup Global Markets Inc., Claimant v. May Van Brisbin, Respondent Case Number: 05-04290 Hearing Site: Los Angetes, California Nature of the Dispute: Member v. Associated Person REPRESENTATION OF PARTIES For Claimant Citigroup Global Markets Inc.: Brian C. Free, Esq. Hillis Clark Martin & Peterson, P.S. Seattle, Washington For Respondent May Van Brisbin: May Yan Bris

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION i i CASE: 05-04283 Carsten Lund, (Claimant) vs. Qptionsxpress, Inc., (Respondent) ATTORNEYS: Claimant appeared pro se, Bubank, CA. For Respondent appeared in-house counsel Hillary Victor, Esq., Chicago, IL. NATURE OF DISPUTE: Customer vs. Member DATE FILED: August 12, 2005 CASE SUMMARY: Claimant alleged that Respondent misrepresented and omitted material facts regarding investments in his

NASD DISPUTE RESOLUTION AWARD NA$i> DISPUTE RESOLUTION CASE: 05-04272 Frederick A. Scab and Debra Seab, (Claimants) vs. American General Securities Incorporated, Hartford Securities Distribution Co., Leroy Jack Smith, and Hartford Equity Sales Company, Inc., (Respondents) ATTORNEYS: For Claimants appeared George W. Healy, IV, Esq., of the firm George W. Healy, IV & Associates, Gulfport, MS. For Respondents American General Securities Incorporated an

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Raymond James Financial Services, Inc., Claimant v. Anssy A. Okoebor, Respondent Case Number: 05-04253 Hearing Site: Los Angeles, California Nature of the Dispute: Member v. Associated Person REPRESENTATION OF PARTIES For Claimant: Leslie A. Reese, Esq. Raymond James Financial Services, Inc. St. Petersburg, Florida Respondent did not enter an appearance in this matter. C

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-04244 Jim L. Conley, (Claimant) vs. Edward D. Jones & Co., (Respondent) ATTORNEY^ ~ Claimant appeared pro se, Garland, TX. For Respondent appeared Trae D. Meyr, Esq., of the firm Greensfelder, Hemker & Gale, P.C., St. Lois, MO. NATURE OF DISPUTE: Customer vs. Member DATE FILED: August 10, 2005 CASE SUMMARY: Claimant alleged that Respondent misrepresented material facts regarding

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-04213 Citigroup Global Markets, Inc., Joseph Kennelly, Jonathan Elyachar, Jack Grubman and Kevin McCaffrey, (Claimants) vs. Linda Brennan, (Respondent) ATTORNEYS: For Claimants appeared Christopher G, Massey, Esq., of the firm Bressler, Amery & Ross, P.C., Morristown, NJ. For Respondent appeared Thomas J. Hanrahan, Esq., Glen Rock, NJ. NATURE OF DISPUTE: Member and Associated Persons v.

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 01-00601 Joseph M. Melisky, Claimant vs. J. Christopher Landers & NatCity Investments, Inc., Respondents. ATTORNEYS: Claimant, Joseph M. Melisky, ("Claimant"), appeared Pro Se, North Olmsted, OH. Respondents, J. Christopher Landers & NatCity Investments, Inc., (collectively "Respondents" appeared through their Assistant Compliance Director, Cynthia J. Foresta, Cleveland, OH. DATE FILE

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Howard J. Kuntz, III (Claimant) vs. Merrill Lynch, Pierce, Fenner & Smith Incorporated (Respondent) Case Number: 05-04162 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant Howard J. Kuntz, III hereinafter referred to as "Claimant": Alan L. Frank, Esq., Frank, Rosen, Snyder & Moss, LLP, Elkins Park, PA. Respondent M

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-04157 Michael Pochna, (Claimant) vs. T.D. Waterhouse Investor Services, Inc. and Randy Kornberg, (Respondents) ATTORNEYS: Claimant appeared pro se, New York, NY. For Respondents appeared in-house counsel, Janis Campanella, Esq., Boca Raton, FL. NATURE OF DISPUTE: Customer v. Member and Associated Person DATE FILED: August 7, 2005 CASE SUMMARY: Claimant alleged that Respondents made e

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Elisa Brizuela, Claimant, Case Number: 05-04109 Hearing Location: Chicago, Illinois v. CMC Institutional Trading, L.L.C., Respondent. NATURE OF THE DISPUTE: Associated Person v. Member REPRESENTATION OF PARTIES Elisa Brizuela ("Brizuela"), hereinafter referred to as "Claimant" was represented by James J. Eccleston and Ronald M. Amato, Shaheen, Novosels