NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-04658 Michael J. Osewalt, (Claimant) vs. Mony Securities Corporation, (Respondent) ATTORNEYS: Claimant appeared pro se, Bergen, NY. For Respondent appeared Stephen McDougall, Esq., in-house counsel for AXA Equitable Life Insurance Company, New York, NY. NATURE OF DISPUTE: Customer vs. Member DATE FILED: August 31, 2005 CASE SUMMARY: Claimant alleged that Respondent failed to execute

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-04641 Catalina Borrero, (Claimant) vs. Finacorp Securities, (Respondent) ATTORNEYS: Claimant appeared pro se, New York, NY. For Respondent appeared in-house counsel Eduardo J. Prado, Esq., Irvine, CA. NATURE OF DISPUTE: Customer vs. Member DATE FILED: September 5,2005 CASE SUMMARY: Claimant alleged that Respondent breached an employment contract by failing to repay monies owed for co

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-04640 SunAmerica Securities, Inc., (Claimant) vs. Albert J. Becker, Jr., (Respondent) ATTORNEYS: For Claimant appeared in-house counsel John K. Fahey, Esq., Phoenix, AZ. Respondent did not submit an Answer to the Statement of Claim. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: September 6, 2005 CASE SUMMARY: Claimant alleged that Respondent breached an employment contract b

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Fidelity Brokerage Services, LLC, Claimant v. Isaiah David Tapius, Respondent Case Number: 05-04619 Hearing Site: Denver, Colorado Nature of the Dispute: Member v. Customer REPRESENTATION OF PARTIES For Claimant: Laurence K. Richmond, Esq. Laurence K. Richmond & Associates Quincy, Massachusetts For Respondent: Isaiah David Tapius In Propria Persona Beverly Hills, Cal

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Kelvin Williams and Name of Respondent Merrill Lynch Pierce Fenner & Smith, Inc. Case Number: 05-04614 Hearing Site: Houston, Texas NATURE OF DISPUTE Customer v. Member Firm REPRESENTATION OF PARTIES Kelvin Williams ("Claimant") was represented by Debra Brewer Hayes, Esq., Woska & Hayes, LLP, Kingwood, Texas. Merrill Lynch Pierce Fenner &

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-04611 Newbridge Securities Corporation, (Claimant) vs. William Harris, (Respondent) ATTORNEYS: For Claimant appeared Michael S. Colombo, President and CEO of Streetwide Asset Recovery Group, Inc., Lyndhurst, NJ. Respondent appeared pro se, Phoenix, AZ. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: September 1, 2005 CASE SUMMARY: Claimant alleged that Respondent breached

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-04607 Patricia and Robert Thomas, (Claimants) vs. Metropolitan Life Insurance Company, (Respondent) ATTORNEYS: For Claimant appeared John J. McGovern, Jr., Esq., Scranton, PA. For Respondent appeared B. John Pendleton, Esq., of the firm McCarter & English, LLP, Newark, NJ. NATURE OF DISPUTE: Customers vs. Member DATE FILED: August 29, 2005 CASE SUMMARY: Claimants alleged that Res

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-04606 Seibt Financial Services, (Claimant) vs. First Clearing, LLC and Knight Equity Markets, L.P., (Respondents) ATTORNEYS: For Claimant appeared Joseph F. Kyle, Esq., of the firm Kyle & Kyle, Attorneys at Law, Las Vegas, NV. For Respondent First Clearing, LLC appeared in-house counsel Brian A. McCormack, CCO, Glen Allen, VA. For Respondent Knight Equity Markets, L.P. appeared in-ho

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-04581 Karen Kahn, (Claimant) vs. UBS Financial Services Inc., Richard Fennema, Ronald Medaris, Jr., Douglas Amyett, and Donald Littlefield, (Respondents) ATTORNEYS: Claimant appeared pro se, Tyler, TX. For Respondents appeared in-house counsel E. Andre Velez, Esq., Weehawken, NJ. NATURE OF DISPUTE: Associated Person vs. Member and Associated Persons DATE FILED: August 27, 2005 CASE S

Award NASD Dispute Resolution In the Matter of the Arbitration Between: ** nf the. npjmgnt ^flft* NnmN*" 01-00608 Campbell Janitorial & Investments, Inc. A.G. Edwards & Son, Inc. Jerome Raders TfrflfJTIS ^i* ft ' Houston, Texas nir Claimant, Campbell Janitorial & Investments, Inc., hereinafter referred to as "Claimant**: Gonzalo Joseph Barrientos, Esq., of the Law Offices of Josheph Barrientos, located in Corpus Christi, Texas. R