NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-05701 Westpark Capital, Inc., (Claimant) vs. Stephen Andrew Comeau, (Respondent) ATTORNEYS: For Claimant appeared in-house counsel Anthony C. Pintsopoulos, Esq., 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 b

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Bane of America Investment Services, Inc., Claimant v. Dermot J. Durnin, Respondent Case Number: 05-05695 Hearing Site: San Francisco, California Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES For Claimant: Diane C. Fischer Kane & Fischer, Ltd. Chicago, Illinois For Respondent: Dermot J. Durnin San Francisco, California CASE INFORMATION

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Bane of America Investment Services, Inc., Claimant v. Ryan A. Hudson, Respondent Case Number: 05-05694 Hearing Site: Portland, Oregon Nature of the Dispute: Member v. Associated Person REPRESENTATION OF PARTIES For Claimant: Ron Kane, Esq. Diane Fischer, Esq. Kane & Fischer, Ltd. Chicago, Illinois For Respondent: Respondent did not appear CASE INFORMATION Statem

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-05686 ' * ' - Granite Associates, Inc., (Claimant) vs. Romnie Eduardo Rolon, (Respondent) ATTORNEYS: ~ For Claimant appeared Eugene L. Small, Esq., of the firm Alonso, Andalkar & Kahn, P.C., New York, NY. Respondent did not submit an Answer to the Statement of Claim. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: October 29, 2005 CASE SUMMARY: Claimant alleged that Respon

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Murray Goldfinger (Claimant) vs. Wachovia Securities, LLC (Respondent) Case Number: 05-05679 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES ™~ - — - ^~^— t^ Claimant Murray Goldfinger hereinafter referred to as "Claimant": Benjamin Lapin, Stock Market Recovery Consultants, Inc., Brooklyn, NY. Respondent Wachovia Securit

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION ^.^ CASE: 05-05654 Tye T. Morgan, (Claimant) vs. Scottrade, Inc., (Respondent) ATTORNEYS: Claimant appeared pro se, Elk, WA. For Respondent appeared in-house counsel Andrew Small, St Louis, MO. NATURE OF DISPUTE: Customer vs. Member DATE FILED: November 4,2005 CASE SUMMARY: Claimant alleged that Respondent felled to properly execute trades, breach of contract, and failure to honor obligat

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Tantalus Manor, Ltd., (Claimant) vs. Donald & Co. Securities, Inc. and Benjamin Kaplan, (Respondents) Case Number: 01-00624 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant Tantalus Manor, Ltd., hereinafter referred to as "Claimant": Daniel A. Eigerman, Esq., a sole practitioner, New York, NY. Respondent Donald & Co. Securities, Inc. ("Donald"): Barry R. Temki

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-05629 Pieter R. Wiederhold, (Claimant) vs. John M. Koulopoulos, (Respondent) ATTORNEYS: Claimant appeared prose. Gumming, GA. For Respondent appeared AG Edwards & Sons, Inc.'s in-house counsel Sherry A. Wolk, Esq., SL Louis. MO. NATURE OF DISPUTE: Customer v. Associated Person DATE FILED: November 1, 2005 CASE SUMMARY: Claimant alleged that Respondent breached his fiduciary duty by

NASD DISPUTE RESOLUTION AWARD NASD DISPUtE RESOLUTION CASE: 05-05603 John Keenan, (Claimant) vs. Chase Investment Services Corp., (Respondent) ATTORNEYS: 7 For Claimant appeared Steven E, Cole, Esq., of the firm Wolford & LeClair, LLP, Rochester, NY. For Respondent appeared in-house counsel Sandra Ahn, Esq., New York, NY. NATURE OF DISPUTE: Customer vs. Member DATE FILED: November 1, 2005 CASE SUMMARY: Claimant alleged that Respondent failed to

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-05583 ' James D. Griffin, (Claimant) vs. Edward D. Jones & Co., (Respondent) ATTORNEYS: ' 7 For Claimant appeared Chris Claassen, Esq., of the firm Burg Simpson Eldredge Hersh Jardine PC, Dallas, TX. For Respondent appeared Sandra B. Gallini, Esq., of the firm Greensfelder, Hemker & Gale, P.C.,St Louis, MO. NATURE OF DISPUTE: Customer vs. Member DATE FILED: October 28,2005