Award NASD Dispute Resolution In the Matter of the Arbitration Between: Giuseppe and Isabella Soldano (Claimants) v. First Montauk Securities Corp. (Respondent) Case Number: 04-07379 Hearing Site: New York City, New York Nature of the Dispute: Customers v. Member REPRESENTATION OF PARTIES Claimants Giuseppe Soldano ("G. Soldano") and Isabella Soldano ("I. Soldano"), hereinafter collectively referred to as "Claimants": Brian Kennedy Esq., Law Office of B

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE:01-00326 Dean Witter Reynolds, Inc., claimant vs. Steven Leveille, respondent. ATTORNEYS: For Claimant appeared Michael A. Kraft, Esq. of the firm Kane & Fischer, Ltd., Chicago, IL. Respondent appeared Pro Se, Chicago, IL. DATE FILED: January 22, 2001 CASE SUMMARY: Claimant alleged that respondent breached his employment agreement when he failed to repay monies owed under the agreement

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Wilda Colon David Colon Names of the Respondents Oppenheimer & Co., Inc. (fka Prime Charter Ltd. and Fahnestock & Co.) Meyers Associates, LP Name of Third Party Respondent Diego Carmona Case Number: 04-07373 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member vs. Associated Person. REPRESENTATION OF PARTIES

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-07370 Hanna Enterprises, LLC Name of the Respondent Hearing Site: Boca Raton, Florida Bear Steams & Company, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Hanna Enterprise, LLC, hereinafter referred to as "Claimant": Steven M. McCauley, Esq., Lexington, Kentucky. For Bear Stearns & Company, Inc., herei

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant North Trust Securities, Inc. Names of the Respondents Adele Winter Revocable Trust U/A/D 1/12/93 and Diance I. Wendin Case Number: 04-07365 Hearing Site: Boca Raton, Florida Nature of the Dispute: Member vs. Customer. REPRESENTATION OF PARTTES For North Trust Securities, hereinafter referred to as "Claimant": Steven M. Malina, Esq., an

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-07363 Joseph Nye IRA, Claimant v. Fred Kahn and Kevin Boyce, Respondents ATTORNEYS: Claimant Joseph Nye IRA ("Claimant") appeared pro se, Groton, NY. For Respondents Fred Kahn and Kevin Boyce (collectively "Respondents") appeared D. Jeffrey Gosch, Esq., Syracuse, NY. NATURE OF DISPUTE: Customer vs. Associated Persons. DATE FILED: October 13, 2004. CASE SUMMARY: Claimant alleged that

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Felix J. Armijo, Claimant v. Bane of America Investment Services, Inc., Paul B. Shirk, II, and John M. Norton, II, Respondents Case Number: 04-07354 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member and Associated Persons For Claimant: Felix J. Armijo In Propria Persona El Monte, California For Respondents: Scott T. Beall, Esq. Tate, Lazarin

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 04-07352 Karen Talcott Name of the Respondent Hearing Site: Boca Raton, Florida Linsco/Private Ledger Corp. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Karen Talcott, hereinafter referred to as "Claimant": Charles C. Hunter, Esq., Woska & Hayes, LLP, Kingwood, Texas. For Linsco/Private Ledger Corp., hereinaf

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant ' Pamela Lothian Case Number 04-07347 Names of the Respondents Legacy Financial Services, Inc. Joseph Karsner Hearing Site* Washington, D.C. Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant, Pamela Lothian, "Claimant", was represented by William B. Young, Jr., Esq., Hooper & Weiss

l'0/25/1992 -23:38 2027263797 ' MACHQME/MCLAREN PAGE 02 Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the riaunant fare Number 04-07343 JoAnn Hinks NafPflS ftf Jh. e Respondents ' Hearing Site! Washington, DC Legacy Financial Services, Inc. Joseph R. Karsner, IV Nature of the, Dispule Customer vs. Member and Associated person. PF.PRKSF.NTAT10N OF PAPTTES Claimant, JoAnn Hinks ("Claimant"),