NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-07894 Ryan Beck & Co., Claimant v. Carmine DePalma, Respondent ATTORNEYS: For Claimant Ryan Beck & Co. ("Claimant") appeared Jeffrey Cohen, Esq., in-house counsel, Ryan Beck & Co., Livingston, NJ. Respondent Carmine DePalma ("Respondent") appeared pro se, Mount Kisco, NY. NATURE OF DISPUTE: Member v. Associated Person. DATE FILED: November 15, 2004. CASE SUMMARY: Claimant alleged tha

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-07893 Ryan Beck & Co., Claimant v. Fotis and Michael Costalos, Respondents ATTORNEYS: For Claimant Ryan Beck & Co. ("Claimant") appeared Jeffrey Cohen, Esq., in-house counsel, Ryan Beck & Co., Livingston, NJ. Respondents Fotis and Michael Costalos (collectively "Respondents") did not file a Statement of Answer in this matter. NATURE OF DISPUTE: Member v. Customers. DATE FILED: Novemb

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-07886 Xavier Miles Names of the Respondents Hearing Site: New Orleans, Louisiana American General Securities, Inc. Leroy Jack Smith Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Xavier Miles, hereinafter referred to as "Claimant": George W. Healy, W, Esq., George W. Healy, I

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the Claimant Patricia M. Schuler, individually and on behalf of Patricia M. Schuler, IRA Names nf the Respondents Edward D. Jones & Co. Jayson Wallie Jones Case Number- 04-07868 Hearing Site: Columbia, South Carolina Nature of the Dispute: Customer vs. Member and Associated Person. RF.PRF.SF.NTATTO1SJ OF PARTTF.Si Claimant, Patricia M. Schuler, individual

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Nyfix Millennium, LLC (Claimant) v. Paravane Partners, LLC, and Leeb Brokerage Services, Inc. (Respondents) Case Number: 04-07856 Hearing Site: New York, New York Nature of the Dispute: Member v. Member REPRESENTATION OF PARTIES Claimant Nyfix Millennium, LLC ("Claimant"): Gerard P. Finn, Esq., Bingham McCutchen, LLP, Washington, DC. Respondent Paravane Partners,

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant/Cou nter-Respondent Man McCain and Respondent/Counter-Claimant Oppenheimer & Co., Inc. Case Number: 04-07853 Hearing Site: Houston, Texas NATURE OF DISPUTE Associated Person v. Member Firm and Member Firm vs. Associated Person REPRESENTATION OF PARTIES Mari McCain ("McCain" or "Claimant") was represented by Walter!. Weathers, Jr., Esq., Watt Beckworth

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant ' ' ' . . • • Stifel, Nicolaus & Company, Inc. and . • 04-07851 ' • ' • - Kansas City, Missouri Name of Respondent • Richard P. Stem • . Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant, Stifel, Nicolaus & Company, Inc. ("Stifel" or."Claimant") was represented by Richard H. Kuhlman, Esq., Eric D. Marti

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-07848 James T. Keefe Jr. IRA Names of the Respondents Hearing Site: Boca Raton, Florida Merrill Lynch Pierce Fenner & Smith, Inc. Anthony Francis Hartigan William Wright Bourbeau Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For James T. Keefe Jr. IRA, hereinafter referred to as

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Scott C. Williams, Claimant v. Bane of America Investment Services, Inc. and Marty Leclerc, Respondents Bane of America Investment Services, Inc., Counter-Claimant v. Scott C. Williams, Counter- Respondent Case Number: 04-07830 Hearing Site: San Francisco, California Nature of the Disputes: Associated Person v. Member and Associated Person Member v. Associated Person REPRESE

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Stafford Reynolds v. Brown & Company Securities Corporation n/k/a J.P. Morgan Investment, LLC Case Number: 04-07823 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Stafford Reynolds hereinafter referred to as "Claimant" appeared pro se. Brown & Company Securities Corporation ("Brown & Co.") n/k/a J.P. Morgan Investment, LLC