NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-01710 William F. Kolbe, (Claimant) vs. Merrill Lynda, Pierce, Fenner & Smith, Inc., (Respondent) ATTORNEYS: ' Claimant appeared pm < se, Village of Golf, FL. For Respondent appeared in-house counsel H. Kyeng Lee, Esq., New Yotfc, NY. NATURE OF DISPUTE: Customer vs. Member DATE FILED: March 29, 2005 CASE SUMMARY: Claimant alleged that Respondent breached hiacontract and fiduciary d

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-01707 David W. Lee, (Claimant) vs. Keith Wood and James Groce 3 (Respondents) ATTORNEYS: "" "~~ Claimant appeared pro se, Midland, TX. For Respondents appeared Citigroup Global Market Ihc/s in-house counsel Rebecca Behr^ New York, NY. NATURE OF DISPUTE: Customer vs. Associated Persons ~~ DATE FILED: March 29,2005 CASE SUMMARY: Claimant alleged that Respondents negligently ban

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Frank Ferrante (Claimant) v. BrokerageAmerica, LLC and Andrew Sycoff (Respondents) Case Number: 05-01704 Hearing Site: Newark, New Jersey Nature of the Dispute: Associated Person vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Frank Ferrante hereinafter referred to as "Claimant": Peter C. Lucas, Esq., and Lourdes Lucas, Esq., Lucas & McGoughran, LLC, Oakhurst, N

Award NASD Dispute Resolution In the Matter of the Arbitration Between: John Bodnar and Nadine Bodnar, Claimants v. Pacific American Securities, LLC, Vanguard Capital, WBB Securities, LLC, ZA Associates, Inc., and Thomas P. Garrity,, Respondents Case Number: 05-01701 Hearing Site: Los Angeles, California Nature of the Dispute: Customers v. Members and Associated Person REPRESENTATION OF PARTIES For Claimants: For Respondent Pacific American Secu

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-01698 Ryan Beck & Co., Inc., (Claimant/Counterclaim Respondent) vs. Robert Klein, (Respondent/Counterclaim Claimant) ATTORNEYS: For Claimant/Counterclaim Respondent appeared in-house counsel Jeffrey B. Cohen, Livingston, NJ. Respondent/Counterclaim Claimant appeared pro se, White Plains, NY. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: March 28, 2005 CASE SUMMARY: C

DISPUTE RESOLUTION AWARD NASP DISPUTE RESOLUTION CASE: 05-01694 ' (£WaDean ^ Reyn ° ldS ^ (Cl8imant > vs - ^ Allen Lewis, A T T O R N E Y S ! ~ For Claimant appeared Diane C- Fischer, Esq., of the fina Kane & Fischer, Ltd., Chicago, IL Respondent did not submit an Answer to the Statement of Claim. NATURE OF DISPUTE: Member vs. Customer DATE FILED: March 30,2005 ASE SUMJ^

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Citigroup Global Markets Inc. file/a Salomon Smith Barney Inc., Claimant v. Anssy A. Okoebor, Respondent Case Number: 05-01676 Hearing Site: Los Angeles, California Nature of the Dispute: Member v. Associated Person REPRESENTATION OF PARTIES For Claimant: Brian Free, Esq. Hillis Clark Martin & Peterson, P.S. Seattle, Washington For Respondent: Anssy A. Okoebor In Pro

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 05-01670 Mary F. C. Campbell, Individually and as Trustee for the Mary F. C. Campbell Trust and as Beneficiary of the Mary F. C. Campbell Charitable Remainder Unitrust Name of the Respondent Hearing Site: Boca Raton, Florida Merrill Lynch, Pierce, Fenner and Smith, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Barbara Carpe (Claimant) vs. Jerome Rubin, Matthew Halpert a/k/a Jeffrey Halpert and Alan Halpert (Respondents) Case Number: 01-00520 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant Barbara Carpe hereinafter referred to as "Claimant": Dan Druz, Esq., Manasquan, NJ. Respondent Jerome Rubin ("Rubin") hereinafter referred to as "Rubin": Anthony Paduano, Esq.

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 00-00619 Chester J. Derek Intervivos Trust, claimant vs. Legg Mason Wood Walker, Inc., respondent. ATTORNEYS: Claimant appeared through its Trustee, Chester J. Derek, Saginaw, ML For Respondent appeared in-house counsel, Sheila Mosmiller Vidmar, Esq., Baltimore, MD. DATE FILED: February 11, 2000 CASE SUMMARY: Claimant alleged that respondent recommended and purchased unsuitable stock