NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-07935 June Sagoskin (Claimant) v. Merrill Lynch, Pierce, Fenner & Smith, foe. (Respondent) A T T O R N E Y S : " " " " " ~ ~ — For Claimant June Sagoskin ("Claimant) appeared Adam M. Green, Esq., of the firm Anapol, Schwartz, Weiss, Cohan, Feldman and Smalley, P-C., Philadelphia, PA. For Respondent Merrill Lynch, Pierce, Fenner

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Shizuka Oda, Claimant \. Jeffery E. Fong, Jay C. Fong and A.G. Edwards & Sons, Inc., Respondents Case Number: 04-07929 Hearing Site: San Francisco, California Nature of the Dispute: Customer vs. Member and Associated Persons REPRESENTATION OF PARTIES For Claimant: Jonathan Boonin Warren & Boonin LLP Boulder, Colorado For Respondents: William S. Port A.G. Edwards & So

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 04-07916 Barbara M. Brown, IRA Barbara M. Brown TOD Allison Leigh Brown & Scott McCulloch Brown Names of the Respondents Hearing Site: Tampa, Florida Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. Jack B. Grubman Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Barbara

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of thp Claimant Alton Securities Group, Inc. JMame of the Respondent Keith Scott Perkins Case Number 04-07907 Hearing Site: Chicago, Illinois Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant, Alton Securities Group, Inc. ("Alton"), hereinafter referred to as "Claimant": Matt D. Maberry, Alton Securities Group, Inc., Alton, I

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-07905 Olga Fairchild, Claimant v. Merrill Lynch, Pierce., Fenner & Smith, Inc. and Gilbert Zucker, Respondents ATTORNEYS: Claimant Olga Fairchild ("Claimant") appeared pro se, Union City, CA. For Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. and Gilbert Zucker (collectively "Respondents") appeared Angela A. Turiano, Esq., in-house counsel, Merrill Lynch, Pierce, Fenner & Smith,

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-07904 Raymond James Financial Services, Inc. (Claimant) v. Coleman Kao (Respondent) ATTORNEYS: For Claimant Raymond James Financial Services, Inc. ("Claimant") appeared Leslie A. Reese, Esq., in-house counsel Raymond James Financial Services, Inc., St. Petersburg, FL. Respondent Coleman Kao ("Respondent") did not file a Statement of Answer in this matter. NATURE OF DISPUTE: Member v. Associa

NASD DISPUTE RESOLTDTJON AWARD NASD DISPUTE RESOLUTION CASH: 04-07903 Charles V. Brown, (Claimant) vs. High Street Financial, Inc., (Respondent) ATTORNEYS: " " " " " For Claimant appeared Neal J. Blaher, of Hie Law Office of Neal Biahcr, Orlando,. FL, For Respondent appeared Richard C. McCrea, Jr. ? Esq., of the firm Zinobar & McCrea, Tampa, FL. NATURE OF DISPUTE: Associated Person v. Non-Member with Contract to Arbitrate

NASD DISPUTE RESOLUTION AWAJRD NAS1> PISFUTE KESQLimON CASE: 04-07902 Carolyn Madge Corbb, (Claimaat) vs. A.G- JBdwwds & Sana, Inc., (Respondent) ATTORNEYS: For Claimant appeared Richard E. Corrigan* Esq., Mobile, AJL For Respondent Appeared in-house counsel Brent J. Burtm, Esq., St. Louis, MO. DAtE FILED: November 12, 2004 CASE SUMMARY: Claimant alleged that Respondent sold her iavestmc&U without her knowledge and authorization. Claranani frrtber a

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Midwood Securities, Inc. (Claimant) v. Donald G. Kress (Respondent) Case Number: 04-07896 Hearing Site: New York, New York Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant Midwood Securities, Inc. hereinafter referred to as "Claimant": Donald A. Corbett, Esq., Carter Ledyard & Milburn, LLP, New York, NY. Respondent Donald G. Kress hereinaft

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE:01-00367 Bette S. Margolis, claimant vs. McDonald Investments, Inc. and Trine B. Ford, respondents. ATTORNEYS: Claimant appeared Pro Se, Highlands Ranch, CO. For Respondents appeared Kathryn M. Miley,Esq., of the firm Wilkerson & Associates Co., LPA, Cleveland, OH. DATE FILED: January 23, 2001 CASE SUMMARY: Claimant alleged that respondents mismanaged her account when they failed t