NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-00900 Larry A. Hamilton, (Claimant) vs. Leonard S. Chaikind, Andrew J. Martin, Mariel Christi Clemensen, HCC-TradeCo ? Inc., and John Christopher Van, (Respondents) ATTORNEYS: Claimant appeared pro se, Hiuston, TX. Respondents Mariel Christi Clemensen and IICC-TradeCo, Inc., appeared pro se through Mariel Christi Clemensen, Jersey City, NJ. Respondent Andrew J. Martin appeared pr

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-00895 Chris M. Zabak, (Claimant) vs. TD Waterhouse Investor Services, Inc., (Respondent) ATTORNEYS: Claimant appeared pro se, Houston, TX. For Respondent appeared in-house counsel lanis Campanella, Boca Raton, FL. NATURE OF DISPUTE: Customer vs. Member and Associated Person DATE FILED: January 28, 2005 CASE SUMMARY: Claimant alleged that Respondent negligently handled his account by

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Omar Take y Kodr (Claimant) vs. Josephthal & Co., Inc. (Respondent) Case Number: 05-00893 Hearing Site: Buffalo, New York Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Omar Take y Kodr hereinafter referred to as "Claimant" appeared pro se. Respondent Josephthal & Co., Inc. hereinafter referred to as "Respondent": Yosef Sinensky, Esq., Oppenheimer

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Lance R. Freed, Judith Fisher Freed, The Freed Living Trust dated 5/9/97, and The Judith Fisher Freed Living Trust dated 12/19/66, Claimants v. Clearing Services of America, Inc., Respondent Case Number: 05-00892 Hearing Site: Los Angeles, California Nature of the Dispute: Customers v. Member REPRESENTATION OF PARTIES For Claimants: Leonard Steiner, Esq. Steiner & Libo Bever

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-00878 Source Capital Group, (Claimant) v. Crescent Fund, inc. and Jeffrey Stone, (Respondents) ATTORNEYS: For Claimant appeared in-house counsel Robert Fitzpatrick, Esq., Westport, CT. Respondents did not submit Answers to the Statement of Claim. NATURE OF DISPUTE: Member vs. Non-Members DATE FILED: January 31,2005 CASE SUMMARY: Claimant alleged that Respondents ordered the purchase of 5

AWARD NASD DISPUTE RESOLUTION In the Matter of the Arbitration Between: UBS Financial Services Inc., Claimant vs. Andrew Goodwyn, Respondent Case Number: 05-00874 SITUS: Atlanta, Georgia. NATURE OF THE DISPUTE: Member vs. Associated Person. REPRESENTATION OF PARTIES: For UBS Financial Services Inc., hereinafter referred to as "Claimant": Brent A. Burns, Esq., Davidson & Grannum, LLP, Orangeburg, New York. Andrew Goodwyn, hereinafter referred to

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Kenneth M. Coppins and Dariene A. Coppins, JTWRS, Kenneth M. Coppins and Darlene A. Coppins, JTWROS, and Kenneth M. Coppins (Claimants) v. Donaldson, Lufkin & Jenrette Securities Corporation, Robert Guerin, and Albert Markman Peters (Respondents) Case No. 01-01791 Hearing Site: Boston, Massachusetts REPRESENTATION OF PARTIES Kenneth M. Coppins and Darlene A.

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Michael J. Rivers v. 05-00871 Minneapolis, Minnesota Respondent Piper Jaffray & Company Nature of Dispute: Customer v. Member REPRESENTATION OF PARTIES Michael J. Rivers ("Claimant") was represented by Terrance M. Fruth, Esq., of Fruth, Jamison & Elsass, P.A., Minneapolis, Minnesota. Piper Jaffray & Company ("Respondent") was represented by James K. Langd

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: , Michael Lombardo, Claimant, - Case Number:- 05-00870 v. H&R Block Financial Advisors, Inc. and , Hearing Site: St. Louis, Missouri Rodney A. Schmitz, . Respondents. NATURE OF THE DISPUTE Customer vs. Member Firm and Associated Person REPRESENTATION OF PARTIES Michael Lombardo ("Lombardo"), hereinafter referred to as "Claimant": Albert S. Watkins, Esq. of

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 05-00855 UBS International, Inc. Name of the Respondent Hearing Site: Boca Raton, Florida Jose Ivan Jimenez Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For UBS International, Inc., hereinafter referred to as "Claimant": Lisa A. Catalano, Esq., Davidson & Grannum, LLP, Orangeburg, New York. Fo