Award NASD Dispute Resolution In the Matter of the Arbitration Between: Larry J. Korfhage (Claimant) vs. Scottrade, Inc. (Respondent) Case Number: 05-03552 Hearing Site: Louisville, Kentucky Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Larry J. Korfhage hereinafter referred to as "Claimant" appeared pro-se. Respondent Scottrade, Inc. hereinafter referred to as "Respondent": Andrew C. Small, Esq., Scottrade, Inc., St

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE:01-00591 Norman Jacobs, claimant vs. Cambridge Capital Corp., John Messina, Wexford Clearing Services Corp., Thomas M. Rossi, respondents. ATTORNEYS: For Claimant appeared Brian Reis, Esq., New York, NY. For Respondent Wexford Clearing Services Corp. appeared Joseph Dolcimascolo, First Vice- President and Associate General Counsel of Prudential Securities, Inc., New York, NY. Responden

Award COPY NASD Dispute Resolution In the Matter of the Arbitration Between: M.L. Stern & Co., LLC., Claimant v. Jay M. Kim, Respondent Case Number: 05-03538 Hearing Site: Las Vegas, Nevada Nature of the Dispute: Member v. Associated Person REPRESENTATION OF PARTIES For Claimant: James R. Ballard, Esq. Schwartz Semerdjian Haile Ballard & Cauley, LLP San Diego, California For Respondent: Jay M. Kim ProSe Las Vegas, Nevada CASE INF

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 05-03509 Maureen M. Toon, Individually and as Trustee for the Maureen M. Toon Trust Name of the Respondent Hearing Site: Tampa, Florida PNC Brokerage Corp. Nature of the Dispute; Customer vs. Member. REPRESENTATION OF PARTIES For Maureen M. Toon, Individually and as Trustee for the Maureen M. Toon Trust, hereinafter referred to as "C

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-03502 Bane of America Investment Services, Inc., (Claimant) vs. David A. Jones, (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: July 7, 2005 CASE SUMMARY: Claimant alleged that Respondent has failed

10/22/2005 17:14 " . --»"- - MSTABILE PAGE 02 .... *..,«..... ...:*.. — ~ - Ttnau^iJij.un rwuc. o^: Award NASD Dispute Resolution In the Matter gf the Arbitration Between: ; 05-03468 Gwendolyn and Robert Faulk Name ^*k» ttp^nrtH^nt Hpnring sj*R! Pittsburgh, Pcfnwyl Financial Investment Analysts, Itic. Nature of the Dispute: Customers vs. Member. ^ PAHTTFS Claimants, Gwendolyn and Robert Faulk > hereinafter collectively refenfcd to as ''Claim

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Ellen Zone, Claimant v. Merrill Lynch, Pierce, Fenner & Smith Incorporated, Respondent Case Number: 05-03460 Hearing Site: San Diego, California Nature of the Dispute: Customer v. Member REPRESENTATION OF PARTIES For Claimant: Charles C. Hunter, Esq. Woska and Hunter, LLP Kingwood, Texas For Respondent: Alan S. Rafterman, Esq. Merrill Lynch New York, New York CAS

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-03434 Windmill Partners LP, (Claimant) vs. Golden Beneficial Securities Corporation and SeanH. Leidelmeyer, (Respondents) ATTORNEYS: " ~~ For Claimant appeared in-house counsel, Robert Bliss, New York, NY. For Respondent Golden Beneficial Securities Corporation appeared in-house counsel John Burdick, Houston, TX. Respondent Sean H. Leidelmeyer appeared pro se, Sugarland, TX. NATURE O

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-03421 Woodbury Financial Services, Inc., (Claimant) vs. Rafael Leal, (Respondent) ATTORNEYS: For Claimant appeared Douglas D. McGhee, Esq., of the firm Arthur Chapman Kettering Smetak & Pikala P.A., Minneapolis, MN. Respondent did not submit an Answer to the Statement of Claim. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: June 30, 2005 CASE SUMMARY: Claimant alleged tha

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant • • • • • Walter C. Cunningham and Name of Respondent , ' Carey, Thomas, Hoover, & Breault, Inc. . 05-03411 Kansas City, Missouri Nature of the Dispute: Associated Person vs. Member. . REPRESENTATION OF PARTIES Walter C. Cunningham ("Claimant") appeared pro sp. ;. '.• , „ . . . , Carey, Thomas, Hoover,' &:Breault,.rnc. ("Re