Award NASD Dispute Resolution In the Matter of the Arbitration Between: of th p H*"™ 1 " 1 ** Ow NMrpb PT " 05-00759 Kyle and Nancy McCard; Kyle McCard, IRA; and, Nancy McCard, IRA Nam^flffo^J^sppfldffntF H p flrinE Sitf Des Moines, Iowa. UBS Financial Services Inc. and Trevor Lynn Shaner NATfTftfl Op pTSPTITF Public Customers v. Member Firm and Associated Person Claimants Kyle and Nancy McCard; Ky

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Robert Zanes, Claimant v. Quick & Reilly, Inc. n/k/a Bane of America Investment Services, Inc., and David Sorensen, Respondents Case Number: 05-00746 Hearing Site: Salt Lake City, Utah Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Edward A. Lawson, Esq. Lawson & Laski, PLLC Ketchum, Idaho For Respondent

Award NASD Dispute Resolution In the Matter of the Arbitration Between: John Madril and Danielle Madril JT and Danielle Madril (Claimants) vs. Morgan Stanley & Co., Incorporated and Paul Lawrence Fowler (Respondents) Case Number: 05-00745 Hearing Site: Boston, Massachusetts Nature of the Dispute: Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Claimants John Madril and Danielle Madril JT ("Madril") and Danielle Madril ("D. Madril")

NASD D15FUTE RESOLUTION AWARD NASD DISPUTE ABSOLUTION CASE: 05-00740 Veral A. Terry and Dowjfehy L. Terry, (QaimflBts) v& Michael Saylor and Edward D. Jonas & Co., (Respondents) ATrOBNHYS: For Claimants appeared Leslie J. Peters, Esq., Metropolis, IL, For Respondents eppfflared David J, Simmons, Esq., of the firm GreensfeMer, Heraker & Gale, P.C^Stlxmi^MO. NATORE OF DISPUTE; Customer v. Member and Associated Person BATE FILED: February 3, 2005

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-00739 UBS Financial Services Inc., (Claimant) vs. Eugene Spiegel, (Respondent) ATTORNEYS: For Claimant appeared Laura Martin, Esq., of the firm Davidson & Grannum, LLP, Northvale, NJ. Respondent appeared pro se, Atlanta, GA. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: February 8,2005 CASE SUMMARY: Claimant alleged that Respondent has breached the terms an Employment

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Dr. Kenneth A. Barton, (Claimant) vs. Cohig & Associates, Inc. a/k/a Global Capital Securities Corporation, Lawrence Jack Vink, and Troy Melton Peters, (Respondents) Case Number: 01-00484 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Dr. Kenneth A. Barton, hereinafter referred to as "Claimant": Richard D. DeVita, Esq., DeVita & Associates, Hoboken, NJ. C

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-00738 Curtis J. Glasgow, Jr. and Mary H. Glasgow, (Claimants) vs. Bane of America Investment Services, Inc. and Molly Scovel, (Respondents) ATTORNEYS: ~ ~~ " ~ ~~~ Claimants appeared pro se, Lebanon, TN. For Respondents appeared in-house counsel, Matthew S. Diggins, Esq., New York, NY. NATURE OF DISPUTE: Customers v. Member and Associated Person DATE FILED: February 8, 2005 CASE SUMM

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Tucker Elizabeth Ramsay, Individually and as Trustee for the Tucker Elizabeth Ramsay Trust Dated 10/21/97, Claimants v. UBS Financial Services Inc. (formerly UBS PaineWebber, Inc.) and Michael Patrick Boylan, Respondents Case Number: 05-00735 Hearing Site: San Francisco, California Nature of the Dispute: Customers vs. Member and Associated Person REPRESENTATION OF PARTIES For Cl

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-00723 Sky Capital LLC, (Claimant) vs. Andrew K. Matteson, (Respondent) ATTORNEYS: For Claimant appeared Sarah M. Yoho, Esq., of the firm Steel, Hector & Davis LLP, West Palm Beach, FL. Respondent did not submit an Answer to the Statement of Claim. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: February 8, 2005 CASE SUMMARY: Claimant alleged that Respondent breached a cont

NASD DISPUTE RESOLUTION AWARD HASP DISPUTE RESOLUTION CASE: 05-00716 Robert Brisliri, (Claimant) vs. A.G. Edwards & Sons, Inc., (Respondent) ATTORNEYS: For Claimant ^jpeared Debra Brewer Hayes, Esq., of the firm Woska & Hayes., LIP, Kingwood, TX. For Respondents appeared in-house counsel, Nancy Anderson Tayborn, Esq., St. Louis, MO. NATURE OF DISPUTE: Customer vs. Member DATE FILED: February 4,2005 CASE SUMMARY: Claimant alleged thai Respond