Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Marianne S. Machost, Individually and as Trustee for David E. Smith Family Trust Names of the Respondents Securities Services Network, Inc. The Planning Group, Ltd. Dennis Joseph Damiens, Jr. Case Number: 05-00554 Hearing Site: New Orleans, Louisiana Nature of the Dispute: Customer vs. Member, Non-Member and Associated Person. REP RESENTAJI

Award NASD Dispute Resolution In tibe Matter of the Arbitration Between: Diane E. Cannon and Neil F. Cannon (Claimants) vs. Sicor Securities, Inc. (Respondent) Case Number: 05-00540 Hearing Site: Columbus, Ohio Nature of the Dispute: Customers vs. Member REPRESENTATION OF PARTIES Claimants Diane E. Cannon ("D. Cannon") Neil F. Cannon ("N. Cannon"), hereinafter collectively referred to as "Claimants": Peter F. Von Meister, Esq., Green & Green, Dayton,

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-00539 Timothy Weddle Goad, (Claimant) vs. Ameritrade, Inc., (Respondent) ATTORNEYS: Claimant appeared pro se, Fayetteville, NC. For Respondent appeared in-house counsel James. V. Vihstadt, Esq., Omaha, NE. NATURE OF DISPUTE: Customer vs. Member DATE FILED: January 24, 2005 CASE SUMMARY: Claimant alleged that Respondent misrepresented and omitted material facts regarding his investmen

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Case Number: 01-00460 Patricia Dillon Names of Respondents Hearing Site: Boca Raton, Florida Dean Witter Reynolds, Inc. Scott Hanawalt REPRESENTATION OF PARTIES For Patricia Dillon ("Dillon"), hereinafter referred to as "Claimant": Lance P. Richard, Esq., Kohl & Richard, P.A., Stuart, Florida For Dean Witter Reynolds, Inc. ("DWI") and Scott Ha

Award NASD Dispute Resolution In the Matter of the Arbitration Between: . - - . • • i Patty F. Haas (Claimant) vs. J.J.B. Hilliard, W.L. Lyons, Inc. (Respondent) Case Number: 05-00535 Hearing Site: Columbus, Ohio Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant Patty F. Haas hereinafter referred to as "Claimant": Leslie P. Poole, Esq. and John S. Anderson, Esq., Bellows and Bellows, P.C., Chicago,

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-00534 Symetra Investment Services, (Claimant) vs. Brian Methvin, (Respondent) ATTORNEYS: ~~ For Claimant appeared Shannon L. McDougald, of the fiim Perkins Coie, LLP, Seattle, WA. Respondent appeared pro se, Sherwood, OR. NATUREOF DISPUTE: Member v. Associated Person DATE FILED: January 27,2005 CASE SUMMARY: Claimant alleged that Respondent breached their contract by failing to repay

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant James L. Gordon v. 05-00512 Louisville, Kentucky Respondents A.G, Edwards & Sons, Inc., and Byron Holley NATURE OF DISPUTE Customer v. Member and Associated Person REPRESENTATION OF PARTIES James L. Gordon ("Claimant") was represented by Edward J. Dovin, Esq., of Dovin Malkin & Ficken, LLC, Atlanta, Georgia. A.G. Edwards & Sons, Inc. ("AGE") and Byron

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant / Counter Respondent * Citigroup Global Markets, Inc. Case Number: 05-00508 and Hearing Site: Houston, Texas Name of Respondent / Counter Claimant / Third Party Claimant Pamela B. Reznick and Name of Third Party Respondent Raymond J. Miller Consolidated with: Name of Claimant / Counter Respondent i Citigroup Global Markets, Inc. Ca

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number 05-00496 Gregory Walling Name of the Respondent Hearing Site! Washington, D.C. Charles Schwab & Co., Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant, Gregory Walling, hereinafter referred to as "Claimant", represented himself at the hearing in this matter. Respondent, Charles Schwab & Co., hereinafter r

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 05-00489 Warren W. Lovell, III, individually and on behalf of T. Lovell Alpha Limited Partnership, T. Lovell Alpha Limited Partnership Investments Trust and the Warren W. Lovell IRA Account Name of the Respondent Hearing Site: Boca Raton, Florida Harry Strunk Nature of the Dispute: Customer vs. Associated Person. REPRESENTAT