Award NASD Dispute Resolution In the Matter of the Arbitration Between: The K&K Family Limited Partnership, Claimant v. First Financial Equities Corporation, Respondent Case Number: 05-05850 Hearing Site: Phoenix, Arizona Nature of the Dispute: Customer v. Member REPRESENTATION OF PARTIES For Claimant: Clarence E. Rurek The K&K Family Limited Partnership Scottsdale, Arizona For Respondent: Melissa Strouse First Financial Equity Corporati

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-05826 Citigroup Global Markets, Inc., (Claimant) vs. James Curtis McCauley, (Respondent) ATTORNEYS: ~~ For Claimant appeared Matthew B. Henneman, Esq., of the firm Watt Beckworth Thompson & Henneman, L.L.P., Houston, TX. Respondent appeared pro se, Longview, TX. NATURE OF DISPUTE: Member v. Associated Person ~ DATE FILED: November 14,2005 CASE SUMMARY: Claimant alleged that Responden

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-05817 Michael E. Scalia Jr. and Rosemarie Scalia, (Claimants) vs. E*Trade Securities, (Respondent) ATTORNEYS: Claimants appeared prose, Danvers, MA. For Respondent appeared in-house counsel John Bersin, Esq., Rancho Cordova, CA. NATURE OF DISPUTE: Customers vs. Member DATE FILED: November 10,2005 CASE SUMMARY: Claimants alleged that Respondent made errors in transfers in their ac

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-05792 Antonio Tafurt, Maria Teresa Mejia, Maria Rojas de Tafurt and Hallel International Ltd (successor in interest to Antonio Tafurt), (Claimants) vs. Wachovia Securities, LLC. And Denis Barreto, (Respondents) ATTORNEYS: Claimants appeared pro se, Aventura, FL and Bogota, Colombia. For Respondents appeared Prudential Equity Group, LLC's in-house counsel Carole A. McDonald, Esq. p

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Fidelity Brokerage Service, LLC (Claimant) vs. Atilla Demiray (Respondent) Case Number: 05-05766 Hearing Site: New York, New York Nature of the Dispute: Member vs. Customer REPRESENTATION OF PARTIES Claimant Fidelity Brokerage Service, LLC ("Fidelity") hereinafter referred to as * "Claimant": Laurence K. Richmond, Esq., Law Office of Laurence K. Richmond, Quincy, Massachusetts.

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-05744 Fidelity Brokerage Services, LLC, (Claimant) vs. Marco S. Raine, (Respondent) ATTORNEYS: For Claimant appeared Laurence K. Richmond, Esq., of the firm Laurence K. Richmond & Associates, P.C., Quincy, MA. Respondent did not submit an Answer to the Statement of Claim. NATURE OF DISPUTE: Member v. Customer DATE FILED: November 8, 2005 CASE SUMMARY: Claimant alleged that Respondent

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Barbara Shopkora, (Claimant) vs. Republic New York Securities Corp., Martin Hovance, and Philip S. Dobkin, (Respondents) Case Number: 01-00627 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Barbara Shopkorn, hereinafter referred to as " Claimant", appeared pro se. Respondents, Republic New York Securities Corp. ("Republic"), Martin Hovance ("Hovance")

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE kESOLUTION CASE: 05-05743 Fidelity Brokerage Service, LLC, (Claimant) vs. Lindell Williams, (Respondent) ATTORNEYS: i For Claimant appeared Laurence K. Richmond, Esq., of the firm Laurence K. Richmond & Associates, P.C., Quincy, MA. Respondent did not submit an Answer to the Statement of Claim. NATURE OF DISPUTE: Member vs. Customer DATE FILED: November 8, 2005 CASE SUMMARY: Claimant alleged that Re

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 05-05708 Niyukt"Nik"Bhasin Names of the Respondents Hearing Site: Birmingham, Alabama Aura Financial Services Inc. Hurt Linthicum Timothy Gautney Laura Gautney Black Nature of the Dispute: Associated Person vs. Member and Associated Person. REPRESENTATION OF PARTIES For Niyukt "Nik" Bhasin, hereinafter referred to as "Clai

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-05702 Westpark Capital, Inc., (Claimant) vs. Ronald Louis Bronson, (Respondent) ATTORNEYS: For Claimant appeared in-house counsel Anthony C. Pintsopoulos, Los Angeles, CA. Respondent did not submit an Answer to the Statement of Claim. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: November 8, 2005 CASE SUMMARY: Claimant alleged that Respondent breached a contract by failing t