Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Helen L. Wood, Claimant v. Case Number: 01-529 Smith Barney, Inc., Michael J. Melnyk and William S. Cohen, Respondents. Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For Helen L. Wood, hereinafter referred to as "Claimant": Randall W. Henley, Esq., West Palm Beach, Florida. For Respondents Smith Barney, Inc. ("SB"), Michael J. Melnyk ("Mein

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-02055 Richard Louis Seyferth, (Claimant) vs. The Leaders Group, Inc., (Respondent) ATTORNEYS: Claimant appeared pro se, Bolivia, NC. For Respondent appeared in-house counsel Z. Jane Riley, Littleton, CO. NATURE OF DISPUTE: Associated Person vs. Member DATE FILED: April 15, 2005 CASE SUMMARY: Claimant alleged that Respondent failed to pay him commissions. Claimant maintained that due

Award NASD Dispute Resolution m me MattOT of me Arbitration Between: Pase Miimhflr 05-02052 Peggy Jeana Cook The Estate of Alice Dale Jolley, by and through Peggy Jenna Cook, Executrix NHTV>PJ nf tVift ftftgpnnflptit Hearing Sitp; Memphis, TN First Tennessee Brokerage, Inc. Nature of the Dispute: Customers vs. Member. ttffPPF.SF,NTATTON OF PAPTTttS Claimants, Peggy Jeana Cook and The Estate of Alice Dale Jolley, by and through Peggy Jenna

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-02029 Woodbury Financial Services, Inc., (Claimant) vs. Shawn Michael Jeffcoat, (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: April 14, 2005 CASE SUMMARY

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-02017 Stephen Thomas Altehrando, (Claimant) vs. BrokerageAmerica, LLC and Andrew Garrett Sycoff, (Respondents) ATTORNEYS: Claimant appeared pro se, New York, NY. For Respondents appeared Revan R. Schwartz, Esq., Attorney at Law, New York, NY. NATURE OF DISPUTE: Associated Person vs. Member and Associated Person DATE FILED: April 18, 2005 CASE SUMMARY: Claimant alleged that Respondent

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Ma™ nf the riaimant Pasp Number- 05-02007 Betty M. Janco Names of the Respondents Hearing^Site: Philadelphia, PA Wachovia Securities, LLC First Union Securities, Inc. First Union Capital Markets Corp. Wachovia Corp. Wheat First Union William F. Quinn Nature of the Dispute: Customer vs. Members, Non-Members and Associated Person. RF.PRESF.NTATTON OF PARTTES Cl

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Sidney Joel Weber, Claimant v. TradeStation Securities, Inc., Respondent Case Number: 05-01992 Hearing Site: San Francisco, California Nature of the Dispute: Customer v. Member REPRESENTATION OF PARTIES For Claimant: In Propria Persona Campbell, California For Respondent: Michael S. Hill Chief Compliance Officer Plantation, Florida CASE INFORMATION Statement of C

Award NASD Dispute Resolution In the Matter of the Arbitration Between: _. ^1fliinant/Coimter-Rf spring nit Pfl< ;^_Ni irn h pJ " 05-01984 Pro-Integrity Securities, Inc. NarrP ThirH-Paffy P|pi'mant Hg_qrjr|jr_Site' Dallas, Texas. Lance Lipoufski ir^-Party "RpsprmHprit William Martin Perry NATTTTMT HP THff Former Member Firm v. Associated Person v. Associated Person OF P APTIF.S Claimant/Counter-Respondent Pro-Integrity

Award NASD Dispute Resolution In the Matter of the Arbitration Between; Natnp nf thp Claimant Patricia J. Wilson Name of the Respondents Wells Fargo Investments, LLC Sarah Fajardo Case Number 05-01970 aring Sitp- Pittsburgh, Pennsylvania Nature of the Dispute: Customer vs. Member and Associated Person. RKPRFSFNTATTON OF PARTTF.S Claimant, Patricia J. Wilson, hereinafter referred to as "Claimant", was represented by Susan Wilson, New

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant R.K. Grace & Company Case No. 01-00528 Hearing Site: Boca Raton, Florida Name of Respondent Arthur McDonnell REPRESENTATION OF PARTIES For R.K. Grace & Company ("R.K.") hereinafter referred to as "Claimant": Stephen A. Mendelsohn, Esq., Rutherford, Mulhall & Wargo, P.A., Boca Raton, Florida. Respondent Arthur McDonnell ("McDonnell") appeared pro