Award NASD Dispute Resolution In the Matter of the Arbitration Between: John S. Valeriano and Anita L. Valeriano, Claimants v. Merrill Lynch, Pierce, Fenner & Smith Incorporated and Stephen W. Davis, Respondents Case Number: 05-02376 Hearing Site: Los Angeles, California Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES For Claimants: Randy S. Cohn, Esq. SimmonsCooper LLC East Alton, Illinois For Resp

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf thp Plaimant Jerry Mason Drumm Names f>f the Raymond James Financial Services, Inc. David Watts McMahan Pass Number- 05-02363 Hearing Site- Charlotte, North Carolina Nature of the Dispute: Customer vs. Member and Associated Person. RF.PRFSFNTATTON OF PAKTTFS Claimant Jerry Mason Drumm, hereinafter referred to as "Claimant", was represented by Rosalind M.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Scott Boyd, Claimant v. Wells Fargo Securities, LLC, Respondent Case Number: 05-02358 Hearing Site: Los Angeles, California Nature of the Dispute: Associated Person v. Member REPRESENTATION OF PARTIES For Claimant: Todd C. Atkins, Esq. Atkins & Davidson San Diego, California For Respondent: Thomas F. Kopshever, Esq. Wells Fargo Law Department San Francisco, Californi

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: David Bamett (Claimant) v. Harborside Securities, LLC (Respondent) Case Number: 05-02343 Hearing Site: New York, New York Nature of the Dispute: Associated Person v. Member REPRESENTATION OF PARTIES Claimant David Barnett hereinafter referred to as "Claimant": Michael Kalmus, Esq., New York, NY. Respondent Harborside Securities, LLC hereinafter referred to as "Respond

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-02314 Henri Fabry and Marisa Fabry-Vaira, (Claimants) vs. Brill Securities, Inc., (Respondent) ATTORNEYS: ~ " Claimants appeared pro se, Roma, Italy. For Respondent appeared Charles O'Rourke, Esq., of the firm O'Rourke and Lawlor Attorney- at-Law, Woodbury, NY. NATURE OF DISPUTE: Customers vs. Member DATE FILED: April 20, 2005 CASE SUMMARY: Claimants alleged that Respondent switched

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-02306 Edwin G. Whinney, (Claimant) vs. TD Waterhouse Investor Services, Inc., (Respondent) ATTORNEYS: Claimant appeared pro se, Warrington, PA. For Respondent appeared Janine M. Lucas, Esq., of the firm Hertz, Schram & Saretsky, P.C., Bloomfield Hills, ML NATURE OF DISPUTE: Customer vs. Member DATE FILED: April 18, 2005 CASE SUMMARY: Claimant alleged that Respondent negligently handl

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Patricia Venner (Claimant) vs. H&R Block Financial Advisors, Inc. f/k/a Olde Discount Corp. (Respondent) Case Number: 05-02302 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant Patricia Venner hereinafter referred to as "Claimant" appeared pro-se. Respondent H&R Block Financial Advisors, Inc. f/k/a Olde Discount Corp.

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-02276 National Securities Corporation, (Claimant) vs. Frank Santisario, (Respondent) ATTORNEYS: ~ " ~~^ For Claimant appeared Michael S. Colombo, President and CEO of StrcclWide Asset Recovery Group, foe., Lyndhurstj NJ. Respondent did not submit an Answer to the Statement of Claim. NATURE OF DISPUTE; Member v. Associated Person DATE FILED; April 27,2005 CASE SUMMARY: Claimant allege

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Cam-Thach T. Le, Tuan Iran and Hien Tran, Claimants v. Merrill Lynch, Pierce, Fenner & Smith, Inc. and John T. Driscoll, Respondents Case Number: 01-00532 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimants; Michael A. Oswald, Esq. Edward W. Russey, III, Esq. Oswald & Yap Irvine, California For Respondents: John W. Cotton, Esq. Cotton & Gund

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Jeffrey J. Hood (Claimant) vs. Fox-Pitt, Kelton, Inc. (Respondent) Case Number: 05-02274 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member REPRESENTATION OF PARTIES Claimant Jeffrey J. Hood hereinafter referred to as "Claimant": William F. Dahill, Esq., Wollmuth Maher & Deutsch LLP, New York, NY. Respondent Fox-Pitt, Kelton, Inc. hereinafter re