NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-04800 The Gertrude M. Meyer Revocable Trust dtd 10/04/91, (Claimant) vs. Edward D. Jones & Co., (Respondent) ATTORNEYS: For Claimant appeared Nicholas J. Guiliano, Esq., of The Guiliano Law Firm, Philadelphia, PA. For Respondent appeared E. Linwood Gunn, IV, Esq., of the firm Brock, Clay & Calhoun, P.C., Marietta, GA. NATURE OF DISPUTE: Customer vs. Member DATE FILED: September 7

NASD DISPUTE RESOLUTION STIPULATED AWARD NASD DISPUTE RESOLUTION I L CASE: 05-04782 Michael E. Swan, (Claimant) vs. The Cassidy Family Trust DTD 10/07/92, Emmett Cassidy and Mary H. Cassidy, (Respondents) i ATTORNEYS: For Claimant appeared Jill M. Buresh, Esq., of the firm Jones, Bell, Abbott, Fleming & Fitzgerald, L.L.P., Los Angeles, CA. For Respondents appeared Ian M. Guthrie, Esq., of the firm Schley, Look & Guthrie, L.L.P., Santa Barbar

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Edward Rosenberg (Claimant) vs. Merrill Lynch Pierce Fenner & Smith, Inc. and Justin Cho (Respondents) Case Number: 05-04774 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Edward Rosenberg hereinafter referred to as "Claimant": George M. Gavalas, Esq., Law Office of George M. Gavalas, Mineola,

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-04754 Joseph H. Kenworthy, (Claimant) vs. Charles Schwab & Co., Inc., (Respondent) ATTORNEYS: '' Claimant appeared pro se, Santa Barbara, CA. For Respondent appeared in-house counsel Katherine Nathan, Esq., San Francisco, CA. NATURE OF DISPUTE: Customer vs. Member DATE FILED.: September 7, 2005 CASE SUMMARY: Claimant alleged that Respondent omitted facts regarding investments. Claima

AWARD NASD DISPUTE RESOLUTION In the Matter of the Arbitration Between: Citigroup Global Markets, Inc. and Citigroup Global Markets Holdings, Inc. vs. Bennett James Johnson Case Number: 05-04749 SITUS: New Orleans, Louisiana NATURE OF DISPUTE: Member and Non-Member vs. Associated Person. REPRESENTATION OF PARTIES For Citigroup Global Markets, Inc. ("CGMI") and Citigroup Global Markets Holdings, Inc. ("CGMHI"), hereinafter collectively referred t

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-04728 National Securities Corporation, (Claimant/Counterclaim Respondent) vs. Phillip V. Renz, Michael L. Aga, Thomas J. Mackenroth, Kenneth S. Bush and Robert Thorson, (Respondents/Counterclaim Claimants) ATTORNEYS: For Claimant/Counterclaim Respondent appeared James K. Barbee, Esq., of the firm Golbeck Roth, PLLC, Seattle, WA. For Respondents/Counterclaim Claimants appeared Derek Y. Br

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 05-04715 Georgina Hagel Name of the Respondent Hearing Site: Boca Raton, Florida F. Mackey Hughes Nature of the Dispute: Customer vs. Associated Person. REPRESENTATION OF PARTIES For Georgina Hagel, hereinafter referred to as "Claimant": Pamela A. Leone, Esq., Miami, Florida and Chandra Parker Doucette, Esq., Boca Raton, Florida.. For F.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: American Capital Partners, LLC (Claimant) vs. David Lomedico (Respondent) Case Number: 05-04712 Hearing Site: New York City, 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 D

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Keith Berts, Betts Pump Service, Inc. and Berts Environmental, Inc., (Claimants) v. First Union Securities Fiancail, (Respondent) Case Number: 01-00609 Hearing Site: Houston, Texas REPRESENTATION OF PARTIES Claimants Keith Betts, ("Betts") Betts Pump Service, Inc. ("Betts Pump Sevice") and Betts Environmental, Inc., ("Betts Inc."): William S. Shepherd, Esq., of the

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Ruth E. Watkins (Claimant) vs. Edward D. Jones & Co., and Bob Bedinghaus (Respondents) Case Number: 05-04687 Hearing Site: Cincinnati, Ohio Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Ruth E. Watkins hereinafter referred to as "Claimant" appeared pro se. Respondents Edward D. Jones & Co. ("Edward Jones") and Bob Bedinghaus ("B