NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-03190 Fidelity Brokerage Services LLC, (Claimant) vs. George M. Sapkarov, (Respondent) ATTORNEYS: For Claimant appeared Laurence K. Richmond, Esq., of the firm Laurence K. Richmond & Associates, P.C., Quincy, MA. Respondent did not respond to the Statement of Claim. NATURE OF DISPUTE: Member vs. Customer " DATE FILED: June 17, 2005 CASE SUMMARY: Claimant alleged that Respondent breac

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-03184 George Everett Branton, (Claimant/Counterclaim Respondent) vs. Scottrade, Inc., (Respondent/Counterclaim Claimant) ATTORNEYS: : Claimant/Counterclaim Respondent appeared pro se, Bloomington, MN. For Respondent/Counterclaim Claimant appeared in-house counsel Andrew Small, Esq., St. Louis, MO. NATURE OF DISPUTE: Customer vs. Member DATE FILED: June 17, 2005 CASE SUMMARY

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-03159 National Securities Corporation, (Claimant) vs. Carmelo DeFranco, (Respondent) ATTORNEYS! For Claimant appeared Michael S. Colombo, President and CEO of Street Wide Asset Recovery Group, Inc., New York,, NY. Respondent appeared pro se, Staten Island, NY. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: June 15, 2005 CASE SUMMARY: Claimant alleged that Respondent breac

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant: SunAmerica Securities, Inc. Case Number: 05-03150 Name of the Respondent: John D. Dodd Hearing Site: Dallas, Texas Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant, SunAmerica Securities, Inc., hereinafter referred to as "Claimant": John K. Fahev. Esq.. Associate Counsel. SunAmerica Securities. Inc.. 2800 N. Cen

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 05-03135 Estate of Michael P, Warren, by and through, Executrix Patricia Cahill Name of the Respondent Hearing Site: Boca Raton, Florida Morgan Stanley & Co., Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Estate of Michael P. Warren, by and through Executrix Patricia Cahill, hereinafter referred to as "Cl

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: GKN Securities Corp., Claimant v. Daniel Saffer, Respondent Case Number: 01-0578 Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For Claimant: Ronald Shindler, Esq. Fowler White Burnett Bank of America Tower 100 S.E. 2 nd St., 17 th Roor Mi ami, FL 33131 For Respondent: Daniel Saffer 7945 Travelers Tree Drive Boca Rat

k NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-03116 A. John Romanus, (Claimant) vs. A.G. Edwards & Sons, Inc. and Robert F. Fresard, (Respondents) ATTORNEYS: Claimant appeared pro se, Port Charlotte, FL. For Respondents appeared in-house counsel Sherry Wolk, Esq., St. Louis, MO. NATURE OF DISPUTE: Customer v. Member and Associated Person DATE FILED: June 13, 2005 CASE SUMMARY: Claimant alleged that Respondents placed him i

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant RBC Dain Rauscher, Inc. v. 05-03108 Minneapolis, Minnesota Respondent Camie Moen Quigley NATURE OF DISPUTE Member Firm v. Associated Person REPRESENTATION OF PARTIES RBC Dain Rauscher, Inc. ("Claimant") was represented by Carolyn Guy, Esq., of RBC Dain Rauscher, Inc., Minneapolis, Minnesota. Camie Moen Quigley ("Respondent") did not appear. CASE I

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Mark Bostick and Tammy Mynes-Bostick and Name of Respondent UBS Financial Services, Inc. Case Number: 05-03099 Hearing Site: Houston, Texas NATURE OF DISPUTE Customers v. Member Firm REPRESENTATION OF PARTIES Mark Bostick and Tammy Mynes-Bostick ("Claimants") were represented by Rosalind M. Robertson, Esq., Christopher R. Fehr, Esq., and Sea

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-03092 Oppenheimer & Co., Inc., (Claimant) vs. Herman L. Bilski, (Respondent) ATTORNEYS: For Claimant appeared in-house counsel Eric J. Shames, Esq., New York, NY. Respondent did not submit an Answer to the Statement of Claim. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: June 14, 2005 CASE SUMMARY: Claimant alleged that Respondent breached a contract by failing to repay