Award NASD Dispute Resolution In the Matter of the Arbitration Between: Scarlett Mendoza (Claimant) v. Emcor Securities, Inc. (Respondent) Case Number: 04-08796 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member REPRESENTATION OF PARTIES Claimant, Scarlett Mendoza ("Mendoza") hereinafter referred to as "Claimant": Brian J. Neville, Esq., Law Offices of Brian J. Neville PC, New York, NY. Respondent, Emcor Securities,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Jerzy Chudy (Claimant) v. National Securities Corporation, John James Wilson, and Ludmilla Bernadic Marshall (Respondents) Case Number: 04-08795 Hearing Site: Newark, New Jersey Nature of the Dispute: Customer vs. Member and Associated Persons REPRESENTATION OF PARTIES Claimant Jerzy Chudy ("Chudy") hereinafter referred to as "Claimant": Jeffrey Chudy, Lyndhurst, NJ. Respond

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: PaineWebbe^r Incorporated, (Claimant) v. Orwell Warren O'Keefe, (Respondent), v. PaineWebber Incorporated (Counterclaim Respondent), Jody Thompson and Marcus Pelham- Webb (Third-Party Respondents) Case Number: 01-00424 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant/Counterclaim Respondent, PaineWebber Incorporated ("PaineWebber"): Romaine L. Gardn

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Marleah Llewellyn, Claimant v. Citigroup Global Markets, Inc., Respondent Case Number: 04-08781 Hearing Site: Portland, Oregon Nature of the Dispute: Customer v. Member REPRESENTATION OF PARTIES For Claimant: Jeffrey B. Musslewhite, Esq. Woska and Hayes, LLP Kingwood, Texas For Respondent: Hugo A. Hilgendorf, Esq. Citigroup Global Markets, Inc. New York, New York

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Mr. John W. Speer and Mrs. Jennifer Speer; Mr. John W. Speer and Mrs. Jennifer Speer, JTWROS; and Anges J. Speer Dec'd IRA FBO Mr. John W. Speer as Beneficiary Names of the Respondents Merrill Lynch Charles R. Mayn Case Number: 04-08776 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Assoc

Award NASD Dispute Resolution In the Mattergfthe Arbitration Between: Sophia and Elmer Oerter Charitable Foundation, Case Number: 04-08766 Claimants, vs. Edward Jones Trust Company, a Division of Hearing Site: St. Louis, Missouri Boone National Savings and Loan Association, F.A., Respondents. Nature of the Dispute: Customer vs. Non-Member Firm REPRESENTATION OF PARTIES Sophia and Elmer Oerter Charitable Foundation (the "Foundation"), hereina

\ CASE: 04-08762 David Lerner Associates/Inc. (Claimant) v; John Dugdale (Respondent) ATTORNEYS: For Claimant David Lerner Associates, Inc. ("Claimant") appeared Thomas J. Ruhletz, Esq., previously Joseph C. Pickard, Esq., in-house counsel, David Lerner Associates, Inc., Syosset, NY. Respondent John Dugdale ("Respondent") appeared pro se, Darien, CT. NATURE OF DISPUTE: Member v. Associated Person, DATE FILED: December 14, 2004. CASE SUMMARY: Cla

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-08761 David terner Associates, Inc., (Claimant) vs. David Price, m, (Respondent) ATTORNEYS: For Claimant appeared in-house counsel Joseph C. Pickard* Esq., Syosseu NY. Respondent appeared pro se, Ridgefield, CT. NATURE OF "DISPUTE:" Member v. Associated Person" 1 DATE FILED: December 28, 2004 CASE SUMMARY: Claimant alleged that Respondent breached a contract by failing to repay m

fc NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-08760 David Lerner Associates, Inc., (Claimant) vs. Jose Mogollon, Jr., (Respondent) ATTORNEYS: For Claimant appeared in-house counsel Thomas J. Ruhle, Jr., Syosset, NY. Respondent appeared pro se, Norwalk, CT. NATURE OF DISPUTE: Member v. Associated Person ~~~~~~~~~~ DATE FILED: December 14, 2004 CASE SUMMARY: Claimant alleged that Respondent breached the terms of an Account

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-08759 David Lerner Associates, Inc. (Claimant) v. David Samalin (Respondent) ATTORNEYS: For Claimant David Lemer Associates, Inc. ("Claimant") appeared Thomas J. Rhule, previously Joseph C. Pickard, Esq., in-house counsel, David Lerner Associates, Inc., Syosset, NY. Respondent David Samalin ("Respondent") did not submit a Statement of Answer in this matter. NATURE OF DISPUTErMember v. Associ