Award NASD Dispute Resolution In the Matter of the Arbitration Between: Steven Rubel (Claimant) v. KSH Investment Group, Inc., Bear Stearns Securities Corp., Harvey R. Kohn, Gary W. Sucoff and John C. Hatsopoulos (Respondents) Case Number: 05-01007 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Members and Associated Persons. REPRESENTATION OF PARTIES Claimant Steven Rubel hereinafter referred to as "Claimant": Charles G. Fiore, Es

Award NASD Dispute Resolution In the Matter of the Arbitration Between: World Trading Corp. (Claimant) vs. Citicorp Investment Services (Respondent) Case Number: 04-04328 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES Claimant World Trading Corp. hereinafter referred to as "Claimant": Joseph F. Keenan, Esq., McCanliss & Early, LLP., New York, NY. Respondent Citicorp Investment Services hereinaft

AWARD NASD DISPUTE RESOLUTION In the Matter of the Arbitration Between: Intervest International Equities Corp., Claimant vs. G. Glenn Cobb, Respondent Case Number: 05-05531 SITUS: Columbia, South Carolina NATURE OF DISPUTE: Member v. Associated Person REPRESENTATION OF PARTIES: Intervest International Equities Corp., hereinafter referred to as "Claimant", was represented by J. Brett Stuart, Esq., Intervest International Equities Corp., Colorado

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Paul and Margita Dzatko Trustees of the Paul and Margita Dzatko Revocable Trust Claimant, v. Prudential Equity Group, LLC and John D. Buck, Respondents, Case Number: 05-01295 Hearing Site: St. Louis, Missouri Nature of the Dispute: Claimants v. Member and Associated Person REPRESENTATION OF PARTIES Paul and Margita Dzatko, Trustees of the Paul and Margita Dza

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 06-00875 Tony and Rosetta N. Reed, (Claimants) vs. Ameritrade, Inc., (Respondent) ATTORNEYS: Claimants appeared pro se, BakersfieM, CA. For Respondent appeared in-house counsel James J. Vihstadt, Esq., Omaha, NE. NATURE OF DISPUTE: Customers vs. Member DATE FILED: February 20,2006 CASE SUMMARY: Claimants alleged that Respondent placed them in investments that were unsuitable for the

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 06-00164 Kim and Elizabeth Garbuz, (Claimants) vs. Invest Financial Corporation, (Respondent) ATTORNEYS: For Claimants appeared Theodore M. Davis, Esq., Brooklyn, NY. For Respondent appeared Barry R. Temkin, Esq., of the firm Fiedelman Garfinkel & Lesman, New York, NY. NATURE OF DISPUTE: Customers vs. Member DATE FILED: January 10, 2006 CASE SUMMARY: Claimants alleged that Responden

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Donald W. O'Brien (Claimant) vs. Purshe Kaplan Sterling Investments, Scott Thomas Valente, Peter John Sheehan, and Peter Purcell (Respondents) Case Number: 05-01834 Hearing Site: Albany, New York Nature of the Dispute: Customer vs. Member and Associated Persons REPRESENTATION OF PARTIES Claimant Donald W. O'Brien hereinafter referred to as "Claimant": Timothy J. O'Connor, Esq.,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Stonehill Realty Pension Trust, Scott Coopchick, Trustee (Claimant) v. DB Alex Brown, LLC and Richard W. DeBoe (Respondent) Case Number: 01-02347 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Stonehill Realty Pension Trust, Scott Coopchick, Trustee ("Stonehill") hereinafter referred to as "Cl

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 05-05008 Brian Michael Megibow Names of the Respondents Hearing Site: Tampa, Florida Amsouth Investment Services, Inc. Carol Vincent Cook Nature of the Dispute: Associated Person vs. Member and Associated Person. REPRESENTATION OF PARTIES For Brian Michael Megibow, hereinafter referred to as "Claimant": Stuart Reed, Esq., Legal & Complia

AWARD NASD DISPUTE RESOLUTION In the Matter of the Arbitration Between: Lawrence Bilker, Claimant vs. LH Ross & Company, Inc., Robert J. Vitale, Jeffrey S. Weick and Dean R. Baker, Respondents Case Number: 05-04854 SITUS: Philadelphia, Pennsylvania NATURE OF DISPUTE: Customer v. Member and Associated Persons REPRESENTATION OF PARTIES: Lawrence Bilker, hereinafter referred to as "Claimant", was represented by G. Lynne Thorpe, Esq., Law Offices of