k NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-03116 A. John Romanus, (Claimant) vs. A.G. Edwards & Sons, Inc. and Robert F. Fresard, (Respondents) ATTORNEYS: Claimant appeared pro se, Port Charlotte, FL. For Respondents appeared in-house counsel Sherry Wolk, Esq., St. Louis, MO. NATURE OF DISPUTE: Customer v. Member and Associated Person DATE FILED: June 13, 2005 CASE SUMMARY: Claimant alleged that Respondents placed him i

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant RBC Dain Rauscher, Inc. v. 05-03108 Minneapolis, Minnesota Respondent Camie Moen Quigley NATURE OF DISPUTE Member Firm v. Associated Person REPRESENTATION OF PARTIES RBC Dain Rauscher, Inc. ("Claimant") was represented by Carolyn Guy, Esq., of RBC Dain Rauscher, Inc., Minneapolis, Minnesota. Camie Moen Quigley ("Respondent") did not appear. CASE I

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Mark Bostick and Tammy Mynes-Bostick and Name of Respondent UBS Financial Services, Inc. Case Number: 05-03099 Hearing Site: Houston, Texas NATURE OF DISPUTE Customers v. Member Firm REPRESENTATION OF PARTIES Mark Bostick and Tammy Mynes-Bostick ("Claimants") were represented by Rosalind M. Robertson, Esq., Christopher R. Fehr, Esq., and Sea

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-03092 Oppenheimer & Co., Inc., (Claimant) vs. Herman L. Bilski, (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: June 14, 2005 CASE SUMMARY: Claimant alleged that Respondent breached a contract by failing to repay

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-03091 Sandra Shepis, (Claimant) vs. Olympia Asset Recovery Management and Michael Murphy, (Respondents) ATTORNEYS: ™ For Claimant appeared Hayward Richard Pressman, Esq., of the firm Pressman & Trien, New York, NY. For Respondents appeared Charles M. O'Rourke, Esq., Attorney at Law, Woodbury, NY. NATURE OF DISPUTE: Customer v. Member and Associated Person DATE FILED: June 14,2005

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Josephine H. Berger and Respondents Merrill Lynch Pierce Fenner & Smith, Inc., Merrill Lynch, and Robert James Valenti Case Number: 05-03065 Hearing Site: Southfield, Michigan NATURE OF DISPUTE Customer v. Member, Non-Member and Associated Person REPRESENTATION OF PARTIES i Josephine H. Berger ("Claimant") was represented by Anthony V. Trogan, Esq

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Edwin and Marjorie Boeve and 05-03061 Chicago, Illinois Name of Respondents Robert W. Baird & Co. Incorporated Paul Allen Kuiper Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Edwin and Marjorie Boeve ("Claimants") were represented by Andrew Stoltmann, Esq., Stoltmann Law Offices, Chicago, Illinois.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Nflrne nf thfi Claimant ( Brian Dabrowski, Custodian for Emily J.Dabrowski Name ofthe Respondent Man Securities, Inc. Case Number 05-03051 Hearing Site: Memphis, Tennessee Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant, Brian Dabrowski, Custodian for Emily J. Dabrowski, hereinafter referred to as "Claimant", was represented by

Award NASD Dispute Resolution In the Matter of the Arbitration Between: John L. Mendez and Georgina S. Mendez, Claimants v. UBS Financial Services Inc., Respondent Case Number: 05-03050 Hearing Site: Las Vegas, Nevada Nature of the Dispute: Customers v. Member REPRESENTATION OF PARTIES For Claimants: For Respondent: John L. Mendez ProSe Los Angeles, California Kathleen S. Adams, Esq. UBS Financial Services Inc. Los An

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Fidelity Brokerage Services, LLC d/b/a Fidelity Registered Investment Advisor Group (Claimant) vs. Matthew H. Adams (Respondent) Case Number: 05-03044 Hearing Site: New York, New York Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant Fidelity Brokerage Services, LLC d7b/a Fidelity Registered Investment Advisor Group hereinafter referred to as