COPY Award NASD Dispute Resolution In the Matter of the Arbitration Between: Boosalis Options, LP, Claimant v. Howe Barnes Investments, Inc. and Michael A. Connor, Respondents Howe Barnes Investments, Inc., Counter-Claimant v. Boosalis Options, LP, Counter-Respondent Howe Barnes Investments, Inc., Cross-Claimant v. Michael A. Connor, Cross-Respondent Michael A. Connor, Cross-Claimant v. Howe Barnes Investments, Inc., Cross-Respondent Case Number: 05

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant John Kuckku, as Custodian for Ryan Christopher Kuckku UTMA/FL Natalie Nicole Kuckku UTMA/FL Case No. 01-00576 Names of Respondents JWGenesis Securities, Inc. Michael Robbins Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For John Kuckku, as Custodian for Ryan Christopher Kuckku, UTMA/FL and Natalie Nicole Kuckku, UTMA/FL, he

CASE: 05-02946 Ben S. Banayan, (Claimant) vs. Morgan Stanley DW Inc., (Respondent) ATTORNEYS: For Claimant appeared S. Ron Alikani of the firm Irvine Law Group, LLP, Irvine, CA. For Respondent appeared in-house counsel Christine A. Pham, Esq., Los Angeles, CA. NATURE OF DISPUTE: Customer vs. Member DATE FILED: June 3, 2005 CASE SUMMARY: Claimant alleged that Respondent negligently handled his account by placing him in investments that were unsuitable fo

Award NASD Dispute Resolution In the Matter of the Arbitration Between; Michael Svoboda (Claimant) vs. Westrock Advisors, Inc. and Gregory Martino (Respondents) Case Number: 05-02942 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant Michael Svoboda hereinafter referred to as "Claimant": Michael Huberman, Esq., Huberman & Associates, Boca Raton, FL. Respondents Westroc

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Spelman & Co., Inc. n/k/a AIG Financial Advisors, Inc., Claimant v. Anthony J. Arcidiacono, Respondent Anthony J. Arcidiacono, Counter-Claimant v. Spelman & Co., Inc. n/k/a AIG Financial Advisors, Inc., Counter-Respondent Case Number: 05-02938 Hearing Site: San Diego, California Nature of the Dispute: Member v. Associated Person Associated Person v. Member REPRESENTATION OF

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimants Daniel E. & Marilyn Christiansen and 05-02932 Chicago, Illinois Name of Respondents A.G. Edwards & Sons, Inc. Robert Lee Schrieber Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Daniel E. & Marilyn Christiansen ("Claimants") were represented by Howard B. Prossnitz, Esq., Law Offices of Birndoff & Birnd

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant William Jeffrey and Case Number: 05-02928 Hearing Site: Troy, Michigan Respondents Steven T. Gordon, Walter Burzynski, and Russell Henry NATURE OF DISPUTE Associated Person v. Associated Persons REPRESENTATION OF PARTIES William Jeffrey ("Claimant") was represented by Donald R. Bachand, lit, Esq., and Elizabeth Parker, Esq., Garratt& Bachand, P.C., Bl

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Narpp nf tbp Plaimant ' Paip NllTTlM" 05-02927 Charles Fink, individually, and for the Benefit of Henry Fink nf thp PpspnnHprit }{pan'^g ft if p.- Dallas, Texas PaulR.Meehl ' . OFTUSPTTTP Public Customer v. Associated Person TTPPF.SF.NT A TfOTV OF P APTTF.S Claimant, Charles Fink, individually, and for the Benefit of Henry Fink, hereinafter referred to as Claimant, a

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Management Recruiters of Cleveland-Independence, Inc. Profit Sharing Plan and Trust (Claimant) vs. Oppenheimer and Co., Inc. and Ernest A. Mishne (Respondents) Case Number: 05-02908 Hearing Site: Cleveland, Ohio Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Management Recruiters of Cleveland-Independence, Inc. Profit Sharing Pla

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Khosrow Hakimian, Guity Hakimian, Danny Hakimian, Haleh Rahmana, Guita Hakimi, Roy Hakimian, Parviz Roubeni, Mahnaz Roubeni, individually and derivatively on behalf of Olympus Partners, L.P., Javad Mehdizadeh, and Mehriz General Trading L.L.C., individually and derivatively on behalf of Olympus Partner Fund, Ltd. (Claimants) vs. Merrill Lynch, Pierce, Fenner & Smith Incorporated, Bear S