Award NASD Dispute Resolution In the Matter of the Arbitration Between: James David Cooke, Claimant v. Prudential Equity Group, LLC and David D. Semersky, Respondents Case Number: 05-00602 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Paul W. Thomas, Esq. Thomas & Associates Carlsbad, California For Respondents: Steven M. Malina, Esq. Jonathan

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Citigroup Global Markets, Inc. file/a Salomon Smith Barney Inc., Claimant v. Todd W. Haines, Respondent Case Number: 05-00600 Hearing Site: Salt Lake City, Utah Nature of the Dispute: Member v. Associated Person REPRESENTATION OF PARTIES For Claimant: Steven T. Masada, Esq. Hillis Clark Martin & Peterson Seattle, Washington For Respondent: Todd W. Haines Pro Se M

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Lisa Marie Fourr, Claimant v. Edward D. Jones & Co., Respondent Case Number: 05-00599 Hearing Site: Los Angeles, California Nature of the Dispute: Associated Person v. Member REPRESENTATION OF PARTIES For Claimant: Jonathan Schwartz, Esq. Law Office of Jonathan Schwartz Marina del Rey, California For Respondent: Joseph B. Adams, Esq. Greben & Associates Santa Barbara

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Claimants. Case No. 01-00463 FIRST SECURITY VAN RASPER, ALBERT S. HUMPHREY, III, v. GEORGE BALLING AND BRUCE NOLLENBERGER, Respondents. Hearing Site: San Francisco REPRESENTATION OF PARTIES For Claimants: JACQUELYN JOHNSON and MARIANNE JOHNSON For Respondents: FIRST SECURITY VAN RASPER, ALBERT S. HUMPHREY, III, GEORGE BALL

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-00588 Joseph J. Zulka, (Claimant) vs. Citigroup Global Markets, Inc., (Respondent) ATTORNEYS: For Claimant appeared Jan Graham, Esq., of the firm Jan Graham Law Offices, Salt Lake City, UT. For Respondent appeared in-house counsel Rebecca J. Behr, Esq., New York, NY. NATURE OF DISPUTE: Customer vs. Member DATE FILED: January 31, 2005 CASE SUMMARY: Claimant alleged that Respondent int

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Sherri Costello and Sharon Faye Costello, Claimants v. Fidelity Brokerage Services LLC and David K. Colbert, Respondents Case Number: 05-00585 Hearing Site: Los Angeles, California Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant Sherri Costello: For Claimant Sharon Faye Costello: For Respondents Fidelity Brokerage S

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-00580 Duane Mattison and Sharon Mattison (Claimants) v. Ferris, Baker, Watts, Inc. and Charles Holton (Respondents) ATTORNEYS: For Claimants Duane Mattison and Sharon Mattison (collectively "Claimants") appeared Lee Edelson, BLS Legal Services Corp., Brooklyn, NY. For Respondents Ferris, Baker, Watts, Inc. and Charles Holton (collectively "Respondents") appeared Dana S. Gloor, Esq., in-h

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant David Cope v. 05-00575 Denver, Colorado Respondents Multi-Financial Securities Corporation, Geneos Wealth Management, Inc., Dorothy Mechtenberg, and Mechtenberg Financial Group, Inc. Nature of Dispute: Customer v. Members, Associated Person and Non-Member REPRESENTATION OF PARTIES David Cope ("Claimant") was represented by Andrew J. Petrie, Esq., and

CASE: 05-00567 Steven Craig Novotny, (Claimant) vs. Bane One Securities Corporation, Daniel Robert Deegan, Kenyon A, Warren, Jerry Allen MJadeoik. Chad Carroll, and Lee McComull, (Respondents) ATTORNEYS: ""^ ; ~~ ' Claimant appeared pro ae, Scottsdale* AZ. For Respondents appeared Marc H. Feldmaa, Esq., of the firm Uhncr & Bcnie LLP. Cleveland, NATURE OF DISPUTE: Associated Person v. Member and Associated Persons DATE FILED: January 3D, 2005 CASE SUMMAR

Award NASD Dispute Resolution In the Matter of the Arbitration Between: nf thf* CUmmmtu ' rW KhimK^r- 05-00559 Carolyn Hunter Dickerson Revocable; Tnist Carolyn Hunter Dickerson, Individually and as Trustee for the Carolyn Hunter Dickerson Revocable Trust nf flip RpgpfHiHRntg Hparing Site- Raleigh, North Carolina RBC Centura Securities, Inc. Carlo Walter Oldani Nature of the Dispute: Customers vs. Member and Associated Person. RF.PttF.Sff.NT