NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-08098 Hunter Securities Corp. (Claimant) v. A.G. Edwards & Sons, Inc. (Respondent) ATTORNEYS: For Claimant Hunter Securities Corp. ("Claimant") appeared Stephen A. Steglitz, Hunter Securities Corp., Maplewood, NJ. For Respondent A.G. Edwards & Sons, Inc. ("Respondent") appeared Brent J. Burtin, Esq., in- house counsel, A.G. Edwards & Sons, Inc., St. Louis, MO. NATURE OF DISPUTE: Member v

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants Loren Dorshow and Tanni Stone-Dorshow, Individually and on behalf of the Griffel & Dorshow Profit Sharing Plan v. 04-08088 Minneapolis, Minnesota Respondents Piper Jaffray & Company and Curtis Ray Purington NATURE OF DISPUTE Customers v. Member and Associated Person REPRESENTATION OF PARTIES Loren Dorshow and'Tanni Stone-Dorshow, Indiv

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-08082 Joseph P. Clark, Claimant v. E*Trade Securities, LLC, Respondent ATTORNEYS: Claimant appeared pro se, Ormond Beach, FL. For Respondent E*Trade Securities ("Respondent") appeared John Bersin, Esq., in-house counsel, E*Trade Securities, LLC, Rancho Cordova, CA. NATURE OF DISPUTE: Customer vs. Member, DATE FILED: December 7, 2004. CASE SUMMARY: Claimant alleged that Respondent exe

Award NASD Dispute Resolution In the Matter of the Arbitration Between: William N. Leporini, Marie Leporini, William J. Leporini, Angelo W. Leporini and Maria F. Leporini (Claimants) vs. First Albany Corporation, n/k/a Albany Capital, Inc., First Union Securities, Inc., n/k/a Wachovia Securities, LLC and Frank DiVincenzo (Respondents) Case Number: 04-08079 Hearing Site: Boston, Massachusetts Nature of the Dispute: Customers vs. Members and Associated Person

NASD DISPUTE BESOLUHON AWARD NASD DISPUTE RESOLUTION CASB: 04-08057 Yair Shapita, (Claimant) vs. Primevest Financial Services, Inc., ATTORNEYS: Claimant appeared jwo se, K. Moizekm, Israel For Respondent appeared James J. Moylaa, Esq., of the finn Jfames J. Moylan & Associates, P.C., Steamboat Springs, CO. NATURE OF DISPUTE: Customer vs. Member DATE FILED; November 12,2004 CASE SUMMARY: Qaiinant alleged breach of contract, negligence, feihire to

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-08054 National Securities Corporation (Claimant) v. Jason Lawson (Respondent) ATTORNEYS: For Claimant National Securities Corporation ("Claimant") appeared Michael S. Colombo, President, Streetwide Asset Recovery Group, Inc., New York, NY. Respondent Jason Lawson ("Respondent") did not file a Statement of Answer in this matter. NATURE OF DISPUTE: Member v. Associated Person. DATE FILED

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Frank D. Fauci (Claimant) v. Wachovia Securities, LLC (Respondent) Case Number: 04-08051 Hearing Site: Newark, New Jersey Nature of the Dispute: Customer v. Member REPRESENTATION OF PARTIES Claimant Frank D. Fauci, hereinafter referred to as "Claimant": Stuart Schlem and Benjamin Lapin, Stock Market Recovery Consultants, Inc., Brooklyn, NY. Respondent Wachovia Securities, LLC, h

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Aldo Scavuzzo and Richard Addeo (Claimants) vs. Prudential Securities, Inc., n/k/a Prudential Equity Group LLC (Respondent) Case Number: 04-08048 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Member. REPRESENTATION OF PARTIES Claimants Aldo Scavuzzo ("Scavuzzo") and Richard Addeo ("Addeo"), hereinafter collectively referred to as "Claimants" appeared pro

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Steven Marcus, (Claimants) vs. Bear Stearns & Co., Inc. and Samuel Masucci, (Respondents) Case Number: 01-00371 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Steven Marcus, hereinafter referred to as "Claimant": Scott S. Balber, Esq., Kelly & Balber LLP, New York, NY. Respondent, Bear Stearns & Co., Inc. ("Bear"): Arthur D. Felsenfeld, Esq., Andrews &

89-03494 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration between Vanessa L. Menke Claimant and Power Securities Corporation, Jeff Brown, :Sheppard Shapiro, Richaid Harcheae, Eric Montchecourt, Orville Sandberg, Rafco and Joseph HcOonough Respondents REPRESENTATION OF PARTIES Claimant was represented by Jeffrey 6. Brown, Esq. of Shannon Law Offices, Chicago, Illinois. Respondents Jeff Bro