NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE:01-00366 Milton Hardis, Claimant vs. Jerry A. Wolff and James D. Edge, Respondents. ATTORNEYS: Claimant appeared Pro Se, Deeifield Beach, FL. For Respondents appeared Nuviah Shirazi, Esq., in-house counsel for A.G. Edwards, St. Louis, MO. DATE FILED: January 23, 2001 " "~ CASE SUMMARY: Claimant alleged that Respondents failed to timely execute a sell order of Auto Nation as request

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Jo Ann Ray, Claimant, Case Number: 04-07806 Hearing Site: St. Louis, Missouri v. Merrill Lynch, Pierce, Fenner & Smith, Inc., A.G. Edwards & Sons, Inc., Edward D. Jones & Co., Polly S. Jones, James D. Maher and Jeff G. Pratl, Respondents. Nature of the Dispute: Customer vs. Members and Associated Persons REPRESENTATION OF PARTIES Jo Ann Ray ("Ray 1

Award NASD Dispute Resolution In the Matter of the Arbitration Between: GAL Corporation, Claimant v. Scottrade, Inc., Respondent Case Number: 04-07802 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member REPRESENTATION OF PARTIES For Claimant: Ron A. Auren GAL Corporation Palm Springs, California For Respondent: Dena L. Narbaitz, Esq. Curiale Dellaverson Hirschfeld & Kraemer San Francisco, California CASE I

NASfi DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-07782 Brochet Capital Partners, LP, (Claimant) vs. Terra Nova Trading, L.L.C., (Respondent) ATTORNEYS: For Claimant appeared in-house Managing Partner, Brooks B. McFeely, Washington, DC. For Respondent appeared in-house Compliance Director, Dave Persenaire, Chicago, IL. NATURE OF DISPUTE: Customer vs. Member DATE FILED: November 5, 2004 CASE SUMMARY: Claimant alleged that Respondent exe

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-07781 Thomas Biskup, (Claimant) vs. Morgan Stanley DW Inc., Austin L. Palmer, Richard H. Gross and Guy S. Gentry, (Respondents) ATTORNEYS: Claimant appeared pro se, Charlotte, NC. For Respondents appeared Morgan Stanley DW Inc.'s in-house counsel Amy DePippo, Purchase, NY. NATURE OF DISPUTE:. Customer v. Member and Associated Persons DATE FILED: November 5, 2004 CASE SUMMARY: Cla

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Ruth Bicoll v. Respondents Leonard & Company, First of Michigan Corporation, Fahnestock & Co., Inc., Oppenheimer& Co., Inc., and David Locklear And Cross-Claimant Leonard & Company ' ,. , ' Case Number: .04-07777 Hearing Site: Southfield, Michigan v. Cross-Respondents ,. «•- . '( ; First of Michigan Corporation, Fahnestock & Co

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-07765 Saralyn Ingram IRA, Claimant v. American Express Financial Advisors, Inc. and Nationwide Investment Services Corp., Respondents ATTORNEYS: Claimant Saralyn Ingram IRA ("Claimant") appeared pro se, Augusta, GA. For Respondent American Express Financial Advisors, Inc. appeared Karen E. Wilson, Esq., in- house counsel, American Express Financial Advisors, Inc., Minneapolis, MN. For Re

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant William Metzger and 04-07758 Kansas City, Missouri Name of Respondent Merrill Lynch Pierce Fenner & Smith Incorporated Nature of the Dispute: Customer vs. Member, REPRESENTATION OF PARTIES William Metzger ("Claimant") was represented by Diane A. Nygaard, Esq., The NygaardLaw Firm, Leawood, Kansas. Merrill Lynch Pierce Fenner & Smith Incorporated (

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-07753 Ryan Beck & Co. (Claimant) v. Gus Lambropoulos (Respondent) ATTORNEYS: For Claimant Ryan Beck & Co. ("Claimant") appeared Jeffrey B. Cohen, Esq., in-house counsel, Ryan Beck & Co., Livingston, NJ. Respondent Gus Lambropoulos ("Respondent") did not file a Statement of Answer in this matter. NATURE OF DISPUTE: Member vs. Customer. DATE FILED: November 5, 2004. CASE SUMMARY: Claim

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-07752 RipanNagpal and Meenakshi Nagpal JTWROS, (Claimants) vs. Clark Street Capital, Inc., Adam Chamroeurn Heng, Jeffrey Robert Chicola, and Marco Aifonsi, (Respondents) ATTORNEYS: Claimants appeared pro se, Cupertino, CA For Respondents Clark Street Capital, Inc. and Marco Aifonsi appeared M. David Sayid of the firm Sayid and Associates LLP, New York, NY. Respondent Adam Chamroeurn Heng