NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-02130 Rebecca Howland, (Claimant) vs. Morgan Stanley & Co., Incorporated and Matt Hatton, (Respondents) ATTORNEYS: For Claimant appeared Vincent Acquista of the Brooklyn Law School, Brooklyn, NY. For Respondents appeared in-house counsel Harrison Kaufman, Esq., Purchase, NY. NATURE OF DISPUTE: Customer v. Member and Associated Person DATE FILED: April 18, 2005 CASE SUMMARY: Claimant

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE; 05-02107 George Dawson, (Claimant) vs. Thomas E. Jandt, Tradeway Securities, Inc. and Grad Products, (Respondents) ATTORNEYS: For Claimant appeared Edward W. Russet, III, Esq., Attorney at Law, Laguna Hills, CA. Respondent Tradeway Securities, Inc. did not submit an Answer to the Statement of Claim, Respondent Thomas E. Jandt appeared pro se, Trabuco Canyon, CA. For Respondent Grad Prod

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-02089 Salomon Grey Financial Corporation, (Claimant) vs. Khaled Eldaher, (Respondent) ATTORNEYS: ~~~ For Claimant appeared in-house counsel Belinda Keeley, Esq., Dallas TX. Respondent appeared pro se, Austin, TX. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: April 21, 2005 CASE SUMMARY: Claimant alleged that Respondent breached a contract by failing to repay monies owed

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-02081 Tania Jurtshuk-Sampson, M.D., (Claimant) vs. Citigroup Global Markets, Inc. and Rodger Farquhar, (Respondents) ATTORNEYS: Claimant appeared pro se, New York, NY. For Respondents appeared Rebecca J. Nelson, Esq., New York, NY. NATURE OF DISPUTE: Customer v. Member and Associated Person DATE FILED: April 19, 2005 CASE SUMMARY: Claimant alleged that Respondents' negligence, failur

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Helen L. Wood, Claimant v. Case Number: 01-529 Smith Barney, Inc., Michael J. Melnyk and William S. Cohen, Respondents. Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For Helen L. Wood, hereinafter referred to as "Claimant": Randall W. Henley, Esq., West Palm Beach, Florida. For Respondents Smith Barney, Inc. ("SB"), Michael J. Melnyk ("Mein

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-02055 Richard Louis Seyferth, (Claimant) vs. The Leaders Group, Inc., (Respondent) ATTORNEYS: Claimant appeared pro se, Bolivia, NC. For Respondent appeared in-house counsel Z. Jane Riley, Littleton, CO. NATURE OF DISPUTE: Associated Person vs. Member DATE FILED: April 15, 2005 CASE SUMMARY: Claimant alleged that Respondent failed to pay him commissions. Claimant maintained that due

Award NASD Dispute Resolution m me MattOT of me Arbitration Between: Pase Miimhflr 05-02052 Peggy Jeana Cook The Estate of Alice Dale Jolley, by and through Peggy Jenna Cook, Executrix NHTV>PJ nf tVift ftftgpnnflptit Hearing Sitp; Memphis, TN First Tennessee Brokerage, Inc. Nature of the Dispute: Customers vs. Member. ttffPPF.SF,NTATTON OF PAPTTttS Claimants, Peggy Jeana Cook and The Estate of Alice Dale Jolley, by and through Peggy Jenna

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-02029 Woodbury Financial Services, Inc., (Claimant) vs. Shawn Michael Jeffcoat, (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: April 14, 2005 CASE SUMMARY

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 05-02017 Stephen Thomas Altehrando, (Claimant) vs. BrokerageAmerica, LLC and Andrew Garrett Sycoff, (Respondents) ATTORNEYS: Claimant appeared pro se, New York, NY. For Respondents appeared Revan R. Schwartz, Esq., Attorney at Law, New York, NY. NATURE OF DISPUTE: Associated Person vs. Member and Associated Person DATE FILED: April 18, 2005 CASE SUMMARY: Claimant alleged that Respondent

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Ma™ nf the riaimant Pasp Number- 05-02007 Betty M. Janco Names of the Respondents Hearing^Site: Philadelphia, PA Wachovia Securities, LLC First Union Securities, Inc. First Union Capital Markets Corp. Wachovia Corp. Wheat First Union William F. Quinn Nature of the Dispute: Customer vs. Members, Non-Members and Associated Person. RF.PRESF.NTATTON OF PARTTES Cl