Award NASD Dispute Resolution In the Matter of the Arbitration Between: ; Gloria Broschart, Claimant v. Edward Jones (f/k/a Edward D. Jones & Co., L.P.) and David Snell, Respondents Case Number: 04-07300 Hearing Site: Seattle, Washington Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Edward S. Alexander, Esq. Sheppard and Abbott Bellingham, Washington For Respondents: Joseph B. Genster

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Robert I. Strougo (Claimant) v. TD Waterhouse Investor Services, Inc. (Respondent) Case Number: 04-07281 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Robert I. Strougo appeared pro se. Respondent TD Waterhouse Investor Services, Inc. ("TD Waterhouse") hereinafter referred to as "Respondent": Theodore Snyder, Esq.

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Oneida Surgical Group PC Pension Plan Trust dated 6-15-73, (Claimants) vs. A.G. Edwards & Sons, Inc., Mark Harris and Raymond James Financial Service, Inc., (Respondents) Case Number: 01-00324 Hearing Site: Albany, New York REPRESENTATION OF PARTIES Claimant, Oneida Surgical Gro%p PC Pension Plan Trust dated 6-15-73, hereinafter referred to as "Claimant": Robert F. Pickels

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 04-07279 Ryan Beck & Co., Inc., Claimant v. Robert Marquez, Respondent ATTORNEYS: For Claimant Ryan Beck & Co., Inc. ("Claimant") appeared Jeffrey Cohen, Esq., in-house counsel, Ryan Beck & Co., Inc., Livingston, NJ. Respondent Robert Marquez ("Respondent") appeared pro se, Nesconset, NY. NATURE OF DISPUTE: Member v. Associated Person. DATE FILED: October 14, 2004. CASE SUMMARY: Claiman

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Alan Man-Yiu Cheung, Claimant v. GlobaLink Securities, Inc. and Sune Yue Liu, Respondents Case Number: 04-07275 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Cedric T. Chou, Esq. Pasadena, California James A. Shalvoy, Esq. Manhattan Beach, California For Respondent GlobaLink S

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the Claimant Michael B. Maggert, IRA Name of the Respondent A.G. Edwards & Sons, Inc. Case Nhimher 04-07272 Hearing Site: Nashville, Tennessee Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant, Michael B. Maggert, IRA hereinafter referred to as "Claimant", was represented by H. Naill Falls, Jr., Esq., Falls & Veach, Nashville, Ten

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Paul J. Kelly (Claimant) v. Ameritrade, Inc. (Respondent) Case Number: 04-07266 Hearing Site: Boston, Massachusetts Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant Paul J. Kelly hereinafter referred to as "Claimant": Timothy E. Zerillo, Esq., Zerillo Law Offices, LLC, Portland, ME. Previously appeared pro se. Respondent Ameritrade, Inc. n/k/a J.P. S

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Capital Growth Financial, LLC f/k/a/ CGF Securities, LLC Name of the Respondent Scott Weissman Case Number: 04-07261 Hearing Site: Boca Raton, Florida Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Capital Growth Financial, LLC, hereinafter referred to as "Claimant": Delmar C. Gowing, HI, Esq., Delma

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Christine M. Porro, Claimant v. Merrill Lynch, Pierce, Fenner & Smith Incorporated and Stanley E. Edwards, Respondents Case Number: 04-07259 Hearing Site: Phoenix, Arizona Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Bruce R. Heurlin, Esq. Karp, Heurlin & Weiss, P.C. Tucson, Arizona For Respondents: Kenneth C. Me

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 04-07256 Elaine Ozarow David Ozarow Names of the Respondents Bearing Site: Boca Raton, Florida Dreyfus Service Corporation Walter Blankenhorn Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Elaine Ozarow ("E. Ozarow") and David Ozarow ("D. Ozarow"), hereinafter collectively