AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Pat Stanley Burge and Name of Respondent ' . IMS Securities, Inc. Case Number:, 05-03998 Hearing Site: Houston, Texas NATURE OF DISPUTE Associated Person v. Member Firm REPRESENTATION OF PARTIES • ' ' ' ' ' ' - . • ~ . i ' ' ' ' " ' , Pat Stanley Burge ("Claimant") was

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-03978 Connie Cole, (Claimant) vs. Citigroup Global Markets, Inc. and Jack B. Grubman, (Respondents) ATTORNEYS: For Claimant appeared Robert R. Riley, Esq., of the firm Riley and Jackson, P.C., Birmingham, AL. For Respondents appeared Mark L. Parmelee, Esq., of the firm Greenberg Traurig, P. A., New York, NY. NATURE OF DISPUTE: Customer v. Member and Associated Person DATE FILED

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION i i CASE: 05-03912 Oppenheimer & Co., Inc., (Claimant) vs. John W. Howard, III, (Respondent) ATTORNEYS: " " —_—- For Claimant appeared in-house counsel Eric J. Shames, Esq., New York, NY. Respondent did not submit an Answer to the Statement of Claim. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: July 27, 2005 CASE SUMMARY: Claimant alleged that Respondent breached an employment

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-03845 Nancy M. Cross, (Claimant) vs. David I. Moffitt and Merrill Lynch, Pierce, Fenner < fe Smith, Inc., (Respondents) ATTORNEYS: —— For Claimant appeared Jean Cross, Power of Attorney, Prescott Valley, AZ. For Respondents appeared in-house counsel Emilia M. DeMeo, Esq., New York, NY. NATURE OF DISPUTE: Customer v. Member and Associated Person DATE FILED: July 20,2005 CASE SUMMARY; C

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-03840 Fidelity Brokerage Services, Inc., (Claimant) vs. James K Rogers, (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 vs. Customer DATE FILED: July 21, 2005 CASE SUMMARY: Claimant alleged that Respondent

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Randall Phillip Hallier and . 05-03821 Kansas City, Missouri Name of Respondent Royal Alliance Associates, Inc. Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Randall Phillip Hallier ("Claimant") appeared pro se. Royal Alliance Associates, Inc. ("Respondent") was represented by Andrew Nowack, Esq., Royal Alliance As

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-03788 Henry J. Cirino, (Claimant) vs. David Lerner Associates and Joseph Lafferty, (Respondents) ATTORNEYS: Claimant appeared pro se, Brooklyn, NY. For Respondents appeared in-house counsel Joseph C. Pickard, Esq., Syosset, NY. NATURE OF DISPUTE: Customer v. Member and Associated Person DATE FILED: July 19, 2005 CASE SUMMARY: Claimant alleged that Respondents placed him in investments th

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-03781 Westpark Capital, Inc., (Claimant) vs. David Demarest, IV, (Respondent) ATTORNEYS: : For Claimant in-house counsel Anthony C. Pintsopoulos, Esq., Los Angeles, CA. Respondent appeared pro se, Wellington, FL. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: July 22, 2005 CASE SUMMARY: Claimant alleged that Respondent breached an employment contract by misrepresentin

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Albert Pollari 1999 Trust a/k/a Albert Pollari Revocable Trust of July 15, 1999, Claimant v. Charles Schwab & Co., Inc., Respondent Case Number: 05-03743 Hearing Site: San Francisco, California Nature of the Dispute: Customer vs. Member REPRESENTATION OF PARTIES For Claimant: Albert Pollari Cupertino, California For Respondent: Sean B. Meehan, Esq. Charles Schwab & Co.,

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants James R. Avis, as Trustee for the James R. Avis Living Trust and on behalf of his IRA, and Rosemarie A. Avis, as Trustee for the Rosemarie A. Avis Living Trust and on behalf of her IRA v. 05-03731 Denver, Colorado Respondent Piper Jaffray & Company NATURE OF DISPUTE Customers v. Member Firm REPRESENTATION OF PARTIES James R. Avis, as Trustee fort