NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE; 05-04901 Thomas B. Lovell, Individually and as President of Thomas B. Lovell, Inc., (Claimants) vs. Edward D. Jones & Co., (Respondent) ATTORNEYS: For Claimants appeared Robert H. Rex, Esq., of the firm Dickenson, Murphy, Rex & Sloan, Boca Raton, FL. For Respondent appeared Joseph B. Genster, Esq., of the firm Hillis Clark Martin & Peterson, P.S., Seattle, WA. NATURE OF DISPUTErCustomer

Award NASD Dispute Resolution In the Matter of the Arbitration Between: American Capital Partners, LLC (Claimant) vs. Brad Mitchell (Respondent) Case Number: 05-04890 Hearing Site: New York, New York Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES Claimant American Capital Partners, LLC hereinafter referred to as "Claimant": J. Christopher Albanese, Esq., American Capital Partners, LLC, Hauppauge, NY. Respondent Brad M

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the riflimants Case Number: 05-04888 Mantel & Associates, Ltd. Kick Mantei Names nf thfi RegpnnHfintg Hairing Site: Columbia, SC DanaAshcraft Raymond James Financial Services, Inc. CountyBanc Investments, Inc Nature of the Dispute: Non-Member and Associated Person vs. Associated Person, Member and Non-Member. RFPPF.SF.NTATTON OF PARTIES Claimants, Mantei

Award NASD Dispute Resolution In the Matter of the Arbitration Between: J. Jeffrey Donnell, Claimant v. Citigroup Global Markets, Inc., Respondent Case Number: 05-04885 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member REPRESENTATION OF PARTIES For Claimant: Dennis R. Villavicencio> Esq. Akins & Villavicencio, LLP Carlsbad, California For Respondent: Adam M. Kauff, Esq. Citigroup Global Markets, Inc. New Yor

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Keong Wing Lee (Claimant) vs. Signature Securities Group (Respondent) Case Number: 05-04862 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Keong Wing Lee hereinafter referred to as "Claimant" appeared pro-se. Respondent Signature Securities Group hereinafter referred to as "Respondent": Andrew J. Goodman,

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-04661 Joseph D. Baka, (Claimant) vs. Metlife Securities Inc. and Larry Kinner, (Respondents) ATTORNEYS: For Claimant appeared Wayne Kaye, Simpsonvtlle, SC. For Respondents appeared B. John Pendleton, Esq., of the firm McCarier & English, LLP, Newark, NJ. NATURE OF DATE FILED: DISPUTE: Customer v. Member and Associated Person September 15,2005 CASE SUMMARY: Claimant alleged th

Award NASD Dispute Resolution Y In the Matter of the Arbitration Between: Ralph Rubenstein, JANT Foundation, Rubenstein Family Revocable Trust, and I. & L. Rubenstein Family Foundation, Claimants v. Merrill Lynch, Pierce, Fenner, & Smith Inc., Respondent Case Number: 01-00613 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimants: Jeffrey K. Rifler, Esq. Jeffer, Mangels, Butler & Marmaro, LLP Los Angeles, California Fo

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Nurnhpr- 00-00628 Steven.A. Diorio .. Name r>f the Respondents Hearing Slite- Philadelphia, Pennsylvania Baxter Banks & Smith, Ltd., Fiserv Clearing, Inc., Fiserv Correspondent Services, Inc., Eliott G. Downs, Daniel J. Phillips, Francis M. McDermott, Charles Masi, Maurizio V. Gramniatica, Robert J. Ogilvie, and John McGowan, III. Name n

NASD DISPUTE RESOLUTION STIPULATED AWARD NASD DISPUTE RESOLUTION CASE: 05-04851 Richard Steven Bernstein, (Claimant) vs. Marcie Belenke, (Respondent) ATTORNEYS: r For Claimant appeared Debra A. Jenks, Esq., of the firm Dobin & Jenks, LLP, Jupiter, FL. For Respondent appeared William B. Young, Esq., of the firm Hooper & Weiss, LLC, Orlando, FL. NATURE OF DISPUTE: Associated Person vs. Customer DATE FILED: September 12, 2005 CASE SUMMARY

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Prudential Equity Group, LLCf/k/a Prudential Securities Incorporated Name of the Respondent Michael J. Mizzarisi Case Number: 05-04808 Hearing Site: Atlanta, Georgia Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Prudential Equity Group, LLC f/k/a Prudential Securities Incorporated, hereinafter referred to as