Award NASD Dispute Resolution In the Matter of the Arbitration Between: Ellen Zone, Claimant v. Merrill Lynch, Pierce, Fenner & Smith Incorporated, Respondent Case Number: 05-03460 Hearing Site: San Diego, California Nature of the Dispute: Customer v. Member REPRESENTATION OF PARTIES For Claimant: Charles C. Hunter, Esq. Woska and Hunter, LLP Kingwood, Texas For Respondent: Alan S. Rafterman, Esq. Merrill Lynch New York, New York CAS

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-03434 Windmill Partners LP, (Claimant) vs. Golden Beneficial Securities Corporation and SeanH. Leidelmeyer, (Respondents) ATTORNEYS: " ~~ For Claimant appeared in-house counsel, Robert Bliss, New York, NY. For Respondent Golden Beneficial Securities Corporation appeared in-house counsel John Burdick, Houston, TX. Respondent Sean H. Leidelmeyer appeared pro se, Sugarland, TX. NATURE O

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-03421 Woodbury Financial Services, Inc., (Claimant) vs. Rafael Leal, (Respondent) ATTORNEYS: For Claimant appeared Douglas D. McGhee, Esq., of the firm Arthur Chapman Kettering Smetak & Pikala P.A., Minneapolis, MN. Respondent did not submit an Answer to the Statement of Claim. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: June 30, 2005 CASE SUMMARY: Claimant alleged tha

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant • • • • • Walter C. Cunningham and Name of Respondent , ' Carey, Thomas, Hoover, & Breault, Inc. . 05-03411 Kansas City, Missouri Nature of the Dispute: Associated Person vs. Member. . REPRESENTATION OF PARTIES Walter C. Cunningham ("Claimant") appeared pro sp. ;. '.• , „ . . . , Carey, Thomas, Hoover,' &:Breault,.rnc. ("Re

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 05-03410 Wachovia Securities, LLC. Name of the Respondent Hearing Site: Atlanta, Georgia Eugene Joseph Enders, Jr. Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Wachovia Securities, LLC., hereinafter referred to as "Claimant": Jonathan E. Levine, Esq., Law Office of Daniel S. Fiore, Arlington, Virginia.

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Citigroup Global Markets, Inc. and Case Number: 05-03408 Hearing Site: Houston, Texas Name of Respondent Richard Brett Guillory NATURE OF DISPUTE Member Firm v. Associated Person REPRESENTATION OF PARTIES Citigroup Global Markets, Inc. ("Claimant" or "Citigroup") was represented by Carolyn Roch, Esq., Schirrmeister, Diaz-Arrastria, Brem, LLP, Hous

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC, CASE:01-00590 Lynn Schable, claimant vs. Ron Bjornson, respondent. ATTORNEYS: Claimant appeared Pro Se, Boise, ID. For Respondent appeared Diane K. Goelbeck, Esq., of the firm Hinton & Roth, Seattle, WA. DATE FILED: November 14, 2000 CASE SUMMARY: Claimant alleged that respondent failed to execute a buy order of the World Com stock thereby causing a loss in the claimant's account. Claim

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Lee Greenberg, Claimant v. Chanchal Mehta, Anthony Pace, Georganne E. Detweiler-Voyles, Jeffrey J. Cannella, and Roland P. Sturgill, Jr., Respondents Case Number: 05-03390 Hearing Site: San Francisco, California Nature of the Dispute: Customer v. Associated Persons REPRESENTATION OF PARTIES For Claimant: Irwin Stein Timothy A. Canning, Esq. Attorney at Law Novato, Califo

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Robert Kaimowitz (Claimant) vs. HD Brous & Company, Inc. (Respondent) Case Number: 05-03384 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member REPRESENTATION OF PARTIES Claimant Robert Kaimowitz hereinafter referred to as "Claimant": Eric Rosenberg, Esq., Altman & Company, P.C., New York, NY. Respondent HD Brous & Company, Inc., hereinafter refe

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-03383 Woody Judson Bender, Jr., Aline Wiley Bender and Ann B. Miller, (Claimants) vs. Edward D. Jones & Co. and William A. McDonough, (Respondents) ATTORNEYS! For Claimants appeared William R. McCandless, Esq., Attorney at Law, Ridgeland, MS. For Respondents appeared David J. Simmons, Esq., of the firm Greensfelder, Hemker & Gale, P.C., St. Louis, MO. NATURE OF DISPUTE: Customers v. Memb